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 |
Common Stock Share Equivalents
(3)
|
Â
(4)
|
Â
(4)
|
Common Stock
|
13.9354
(5)
|
$
0
(4)
|
I
|
By Supplemental Savings Plan
|
Employee Stock Option (Right to Buy)
(6)
|
Â
(7)
|
12/06/2005 |
Common Stock
|
718
|
$
22.0764
|
D
|
Â
|
Employee Stock Option (Right to Buy)
(6)
|
Â
(7)
|
12/09/2006 |
Common Stock
|
673
|
$
27.8729
|
D
|
Â
|
Employee Stock Option (Right to Buy)
(6)
|
Â
(7)
|
12/03/2007 |
Common Stock
|
4,721
|
$
24.8849
|
D
|
Â
|
Employee Stock Option (Right to Buy)
(6)
|
Â
(7)
|
10/05/2008 |
Common Stock
|
9,241
|
$
16.9669
|
D
|
Â
|
Employee Stock Option (Right to Buy)
(6)
|
Â
(7)
|
10/04/2009 |
Common Stock
|
6,897
|
$
32.613
|
D
|
Â
|
Employee Stock Option (Right to Buy)
(6)
|
Â
(8)
|
10/04/2009 |
Common Stock
|
3,449
|
$
32.613
|
D
|
Â
|
Employee Stock Option (Right to Buy)
(6)
|
Â
(7)
|
10/02/2010 |
Common Stock
|
14,796
|
$
18.5972
|
D
|
Â
|
Employee Stock Option (Right to Buy)
(6)
|
Â
(7)
|
07/05/2011 |
Common Stock
|
38,000
|
$
22.35
|
D
|
Â
|
Employee Stock Option (Right to Buy)
(6)
|
Â
(9)
|
09/11/2012 |
Common Stock
|
19,000
|
$
20.97
|
D
|
Â
|
Employee Stock Option (Right to Buy)
(6)
|
Â
(10)
|
11/06/2013 |
Common Stock
|
19,000
|
$
27.97
|
D
|
Â
|
Employee Stock Option (Right to Buy)
(6)
|
Â
(11)
|
11/02/2014 |
Common Stock
|
49,000
|
$
36.55
|
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 December 15, 2004. |
(2) |
Includes shares acquired under the Company's employee stock purchase plan and based on information furnished by the Plan Administrator as of December 15, 2004. |
(3) |
Share equivalents represented by Company stock fund units credited under the COL 2001 nonqualified savings plan based on information furnished by the Plan Administrator as of December 15, 2004. |
(4) |
Payable in cash upon termination of employment. |
(5) |
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. |
(6) |
Employee stock options granted pursuant to the Rockwell Collins, Inc. 2001 Stock Option Plan or its 2001 Long-Term Incentives Plan. |
(7) |
The options vested in three substantially equal annual installments and are currently exercisable. |
(8) |
Options become exercisable as to the total number of 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. |
(9) |
12,666 shares are currently exercisable; 6,334 shares become exercisable on September 11, 2005. |
(10) |
6,332 shares are currently exercisable; 6,334 shares become exercisable on November 6, 2005; 6,334 shares become exercisable on November 6, 2006. |
(11) |
The options vest in three substantially equal annual installments beginning November 2, 2005. |