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)
|
10/05/2008 |
Common Stock
|
2,899
|
$
16.9669
|
D
|
Â
|
Employee Stock Option (Right to Buy)
(3)
|
Â
(4)
|
10/04/2009 |
Common Stock
|
1,610
|
$
32.613
|
D
|
Â
|
Employee Stock Option (Right to Buy)
(3)
|
Â
(5)
|
10/04/2009 |
Common Stock
|
805
|
$
32.613
|
D
|
Â
|
Employee Stock Option (Right to Buy)
(3)
|
Â
(4)
|
10/02/2010 |
Common Stock
|
5,796
|
$
18.5972
|
D
|
Â
|
Employee Stock Option (Right to Buy)
(6)
|
Â
(4)
|
07/05/2011 |
Common Stock
|
20,000
|
$
22.35
|
D
|
Â
|
Employee Stock Option (Right to Buy)
(6)
|
Â
(7)
|
09/11/2012 |
Common Stock
|
10,400
|
$
20.97
|
D
|
Â
|
Employee Stock Option (Right to Buy)
(6)
|
Â
(8)
|
11/06/2013 |
Common Stock
|
10,400
|
$
27.97
|
D
|
Â
|
* |
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) |
Shares represented by Company stock fund units under the Rockwell Collins, Inc. 2001 qualified savings plan based on information furnished by the Plan Administrator as of October 1, 2004. |
(2) |
Shares represented by Company stock fund units under the Rockwell Automation, Inc. salaried retirement savings plan, based on information provided by the Plan Administrator as of October 1, 2004. |
(3) |
Employee stock options granted pursuant to the Rockwell Collins, Inc. 2001 Stock Option Plan. |
(4) |
The options vested in three substantially equal annual installments and are currently exercisable. |
(5) |
Options become exercisable as to the total number of option shares on the date on which the closing price of shares are reported on the New York Stock Exchange--Composite Transactions shall have exceeded 150% of the Fair Market Value on October 4, 1999 for at least 20 consecutive trading days or if earlier on October 4, 2006. |
(6) |
Employee stock options granted pursuant to the Rockwell Collins, Inc. 2001 Long-Term Incentives Plan. |
(7) |
6,933 shares are currently exercisable; 3,467 shares become exercisable on September 11, 2005. |
(8) |
3,466 shares become exercisable on November 6, 2004; 3,467 shares become exercisable on November 6, 2005; 3,467 shares become exercisable on November 6, 2006. |