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)
|
10/04/2009 |
Common Stock
|
2,576
|
$
32.613
|
D
|
Â
|
Employee Stock Option (Right to Buy)
(3)
|
Â
(4)
|
07/05/2011 |
Common Stock
|
26,000
|
$
22.35
|
D
|
Â
|
Employee Stock Option (Right to Buy)
(3)
|
Â
(4)
|
09/11/2012 |
Common Stock
|
16,000
|
$
20.97
|
D
|
Â
|
Employee Stock Option (Right to Buy)
(3)
|
Â
(5)
|
11/06/2013 |
Common Stock
|
16,000
|
$
27.97
|
D
|
Â
|
Employee Stock Option (Right to Buy)
(3)
|
Â
(6)
|
11/02/2014 |
Common Stock
|
12,100
|
$
36.55
|
D
|
Â
|
Employee Stock Option (Right to Buy)
(3)
|
Â
(7)
|
11/17/2015 |
Common Stock
|
6,500
|
$
44.85
|
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, including shares acquired on a periodic basis pursuant to the Plan, based on information furnished by the Plan Administrator as of October 2, 2006. |
(2) |
Includes shares acquired under the Company's employee stock purchase plan and based on information furnished by the Plan Administrator as of October 2, 2006. |
(3) |
Stock options granted under the Company's stock based plans. |
(4) |
The options vested in three substantially equal annual installments and are currently exercisable. |
(5) |
10,666 shares are currently exercisable; 5,334 shares become exercisable on November 6, 2006. |
(6) |
4,032 shares are currently exercisable; 4,034 shares become exercisable on November 2, 2006; 4,034 shares become exercisable on November 2, 2007. |
(7) |
The options vest in three substantially equal annual installments beginning 11/17/2006. |