1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security |
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Employee Stock Option (Right to Buy)
(3)
|
Â
(4)
|
01/26/2014 |
Common Stock
|
6,167
|
$
32.14
|
D
|
Â
|
Employee Stock Option (Right to Buy)
(3)
|
Â
(4)
|
11/02/2014 |
Common Stock
|
4,034
|
$
36.55
|
D
|
Â
|
Employee Stock Option (Right to Buy)
(3)
|
Â
(5)
|
11/17/2015 |
Common Stock
|
4,334
|
$
44.85
|
D
|
Â
|
Employee Stock Option (Right to Buy)
(3)
|
Â
(6)
|
11/09/2016 |
Common Stock
|
4,900
|
$
57.92
|
D
|
Â
|
Employee Stock Option (Right to Buy)
(3)
|
Â
(7)
|
11/13/2017 |
Common Stock
|
6,400
|
$
74.05
|
D
|
Â
|
Common Stock Share Equivalents
(8)
|
Â
(9)
|
Â
(9)
|
Common Stock
|
35.21
(10)
|
$
0
(9)
|
I
|
By Supplemental Savings Plan
|
* |
If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** |
Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) |
Includes shares acquired under the Company's employee stock purchase plan and based on information furnished by the Plan Administrator as of January 15, 2008. |
(2) |
Shares represented by Company stock fund units under the Rockwell Collins, Inc. 2001 qualified savings plan, including shares acquired on a periodic basis pursuant to the Plan, based on information furnished by the Plan Administrator as of January 15, 2008. |
(3) |
Employee stock options granted pursuant to the Company's stock based plans. |
(4) |
Options are currently exercisable. |
(5) |
2,167 shares are currently exercisable; 2,167 shares become exercisable on November 17, 2008. |
(6) |
1,633 shares are currently exercisable; 1,633 shares become exercisable on November 9, 2008; 1,634 shares become exercisable on November 9, 2009. |
(7) |
The options vest in three substantially equal annual installments beginning November 13, 2008. |
(8) |
Shares equivalents represented by Company stock fund units credited under the Rockwell Collins, Inc. 2001 nonqualified savings plan based on information furnished by the Plan Administrator as of January 15, 2008. |
(9) |
Payable in cash upon termination of employment. |
(10) |
The number of share equivalents represented by the balance of a participant's Company stock fund may vary from day to day due to variances in the proportion of uninvested cash held in the reference fund used to determine unit values of the Company stock fund under the supplemental plan. |