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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Rockwell Collins, Inc. (delisted) | NYSE:COL | NYSE | Common Stock |
Price Change | % Change | Share Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 141.04 | 0 | 01:00:00 |
|
|
Delaware
|
|
52-2314475
|
(State or other jurisdiction
|
|
(I.R.S. Employer
|
of incorporation or organization)
|
|
Identification No.)
|
|
|
|
400 Collins Road NE
|
|
52498
|
Cedar Rapids, Iowa
|
|
(Zip Code)
|
(Address of principal executive offices)
|
|
|
|
|
Page
|
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM
|
1
|
|
|
FINANCIAL STATEMENTS:
|
|
|
|
Statements of Net Assets Available for Benefits December 31, 2013 and 2012
|
2
|
|
|
Statements of Changes in Net Assets Available for Benefits for the Years Ended December 31, 2013 and 2012
|
3
|
|
|
Notes to Financial Statements for the Years Ended December 31, 2013 and 2012
|
4
|
|
|
SUPPLEMENTAL SCHEDULE:
|
|
|
|
Form 5500, Schedule H, Part IV, Line 4i Schedule of Assets (Held at End of Year) as of December, 31 2013
|
13
|
|
2013
|
|
2012
|
||||
ASSETS:
|
|
|
|
||||
Investments at fair value:
|
|
|
|
||||
Rockwell Collins Defined Contribution Master Trust:
|
|
|
|
||||
Participant-directed investments
|
$
|
90,077,863
|
|
|
$
|
71,513,557
|
|
Partially nonparticipant-directed investment - Rockwell Collins Stock Fund
|
22,190,683
|
|
|
18,249,287
|
|
||
Total Investments
|
112,268,546
|
|
89,762,844
|
|
|||
|
|
|
|
||||
Participant loans receivable
|
3,724,266
|
|
|
3,294,879
|
|
||
|
|
|
|
||||
Total Assets
|
115,992,812
|
|
93,057,723
|
|
|||
|
|
|
|
||||
LIABILITIES:
|
|
|
|
||||
Accrued expenses
|
(21,145)
|
|
|
(18,735)
|
|
||
|
|
|
|
||||
NET ASSETS REFLECTING ALL INVESTMENTS AT FAIR VALUE
|
115,971,667
|
|
93,038,988
|
|
|||
|
|
|
|
||||
Adjustment from fair value to contract value for fully benefit-responsive stable value fund
|
(154,812)
|
|
|
(308,563)
|
|
||
|
|
|
|
||||
NET ASSETS AVAILABLE FOR BENEFITS
|
$
|
115,816,855
|
|
|
$
|
92,730,425
|
|
|
2013
|
|
2012
|
||||
Investment income:
|
|
|
|
||||
Plan interest in net investment income of Rockwell Collins Defined Contribution Master Trust
|
$
|
21,031,055
|
|
|
$
|
8,340,190
|
|
|
|
|
|
||||
Contributions:
|
|
|
|
||||
Participants
|
8,859,083
|
|
|
8,280,967
|
|
||
Employer
|
2,759,785
|
|
|
2,543,865
|
|
||
Rollovers
|
146,147
|
|
|
169,210
|
|
||
Total contributions
|
11,765,015
|
|
|
10,994,042
|
|
||
|
|
|
|
||||
Interest from participant loans receivable
|
140,301
|
|
|
131,059
|
|
||
|
|
|
|
||||
Other income
|
47,831
|
|
|
—
|
|
||
|
|
|
|
||||
Total investment income, contributions, and loan interest income
|
32,984,202
|
|
|
19,465,291
|
|
||
|
|
|
|
||||
Deductions:
|
|
|
|
||||
Payments to participants or beneficiaries
|
(9,630,757
|
)
|
|
(3,292,826
|
)
|
||
Deemed distributions and loan defaults
|
(202,542
|
)
|
|
(88,705
|
)
|
||
Administrative expenses
|
(111,226
|
)
|
|
(76,986
|
)
|
||
Total deductions
|
(9,944,525
|
)
|
|
(3,458,517
|
)
|
||
|
|
|
|
||||
NET TRANSFERS BETWEEN AFFILIATED PLANS
|
46,753
|
|
|
(48,938
|
)
|
||
|
|
|
|
||||
NET INCREASE IN NET ASSETS AVAILABLE FOR BENEFITS
|
23,086,430
|
|
|
15,957,836
|
|
||
|
|
|
|
||||
NET ASSETS AVAILABLE FOR BENEFITS, BEGINNING OF YEAR
|
92,730,425
|
|
|
76,772,589
|
|
||
|
|
|
|
||||
NET ASSETS AVAILABLE FOR BENEFITS, END OF YEAR
|
$
|
115,816,855
|
|
|
$
|
92,730,425
|
|
•
|
A failure of the Plan or its trust to qualify for exemption from federal income taxes or any required prohibited transaction exemption under ERISA
|
•
|
Any communication given to Plan participants designed to influence a participant not to invest in the Stable Value Fund or to transfer assets out of the Fund
|
•
|
Any transfer of assets from the Stable Value Fund directly into a competing investment option
|
•
|
The establishment of a defined contribution plan that competes with the Plan for employee contributions
|
•
|
Complete or partial termination of the Plan or its merger with another plan
|
•
|
Any substantive modification of the Stable Value Fund or the administration of the Stable Value Fund that is not consented to by the wrap issuer
|
•
|
Any change in law, regulation, or administrative ruling applicable to a plan that could have a material adverse effect on the Stable Value Fund's cash flow
|
•
|
Employer-initiated transactions by participating plans as described above
|
|
2013
|
|
2012
|
||||
Mutual Funds
|
$
|
1,665,998,807
|
|
|
$
|
1,578,822,680
|
|
Rockwell Collins Stock Fund
|
422,244,892
|
|
|
385,571,742
|
|
||
Common collective trusts - SSgA Target Retirement funds
|
385,595,195
|
|
|
—
|
|
||
Common collective trust - Managed Income Portfolio Fund
|
194,808,347
|
|
|
194,994,809
|
|
||
Total assets at fair value
|
2,668,647,241
|
|
|
2,159,389,231
|
|
||
Adjustment from fair value to contract value for fully benefit responsive investment contracts
|
(3,125,016
|
)
|
|
(5,893,293
|
)
|
||
Net Assets
|
$
|
2,665,522,225
|
|
|
$
|
2,153,495,938
|
|
|
|
|
|
||||
Plan's interest in Master Trust net assets
|
$
|
112,113,734
|
|
|
$
|
89,454,281
|
|
|
|
|
|
||||
Plan's percentage interest in Master Trust net assets
|
4.2
|
%
|
|
4.2
|
%
|
|
2013
|
|
2012
|
||||
Net appreciation of investments:
|
|
|
|
||||
Mutual funds
|
$
|
311,901,940
|
|
|
$
|
130,884,093
|
|
Rockwell Collins Stock Fund
|
96,912,329
|
|
|
19,540,724
|
|
||
Common collective trusts - SSgA Target Retirement Funds
|
7,251,257
|
|
|
—
|
|
||
Net appreciation
|
416,065,526
|
|
|
150,424,817
|
|
||
Interest and dividends
|
81,632,296
|
|
|
68,021,643
|
|
||
Net investment income
|
$
|
497,697,822
|
|
|
$
|
218,446,460
|
|
|
|
|
|
||||
Plan's portion of Master Trust investment income
|
$
|
21,031,055
|
|
|
$
|
8,340,190
|
|
Description of Investment
|
2013
|
|
2012
|
||||
Rockwell Collins Stock Fund*
|
$
|
422,244,892
|
|
|
$
|
385,571,742
|
|
Vanguard Primecap Fund - Admiral Class
|
239,779,864
|
|
|
165,224,448
|
|
||
Vanguard Institutional Index Plus
|
238,990,897
|
|
|
—
|
|
||
Fidelity Managed Income Portfolio Fund II*, at contract value
|
191,683,331
|
|
|
189,101,516
|
|
||
Vanguard Total Bond Market Index Fund - Institutional Shares
|
169,651,185
|
|
|
186,330,957
|
|
||
Fidelity Mid-Cap Stock Fund - Class K*
|
148,025,450
|
|
|
109,739,049
|
|
||
Vanguard Institutional Index Fund - Institutional Shares
|
—
|
|
|
170,873,963
|
|
|
2013
|
|
2012
|
||||
Net Assets - Rockwell Collins Stock Fund - Beginning of year
|
$
|
385,571,742
|
|
|
$
|
384,886,091
|
|
|
|
|
|
||||
Change in Net Assets:
|
|
|
|
||||
Net appreciation in fair value of investments
|
96,912,329
|
|
|
19,540,724
|
|
||
Dividends
|
7,263,534
|
|
|
7,805,890
|
|
||
Contributions
|
46,623,343
|
|
|
67,292,474
|
|
||
Benefit payments
|
(31,889,906
|
)
|
|
(27,962,874
|
)
|
||
Net transfers to participant-directed investments
|
(82,236,150
|
)
|
|
(65,990,563
|
)
|
||
|
|
|
|
||||
Net change
|
36,673,150
|
|
|
685,651
|
|
||
|
|
|
|
||||
Net Assets - Rockwell Collins Stock Fund - End of year
|
$
|
422,244,892
|
|
|
$
|
385,571,742
|
|
|
|
|
|
||||
Plan's interest in partially nonparticipant-directed investments
|
$
|
22,190,683
|
|
|
$
|
18,249,287
|
|
|
|
|
Significant other
|
|
Significant
|
|
|
||||||||
|
Quoted prices in
|
|
observable
|
|
unobservable
|
|
|
||||||||
|
active markets
|
|
inputs
|
|
inputs
|
|
|
||||||||
|
(Level 1)
|
|
(Level 2)
|
|
(Level 3)
|
|
Total
|
||||||||
Mutual Funds:
|
|
|
|
|
|
|
|
||||||||
Large Cap
|
$
|
632,667,347
|
|
|
$
|
—
|
|
|
$
|
—
|
|
|
$
|
632,667,347
|
|
Mid Cap
|
306,478,464
|
|
|
—
|
|
|
—
|
|
|
306,478,464
|
|
||||
Small Cap
|
186,527,424
|
|
|
—
|
|
|
—
|
|
|
186,527,424
|
|
||||
Foreign
|
226,365,864
|
|
|
—
|
|
|
—
|
|
|
226,365,864
|
|
||||
Bond/Managed Income
|
169,651,184
|
|
|
—
|
|
|
—
|
|
|
169,651,184
|
|
||||
Money Market
|
18,352,217
|
|
|
—
|
|
|
—
|
|
|
18,352,217
|
|
||||
Blended/Balanced
|
125,956,307
|
|
|
—
|
|
|
—
|
|
|
125,956,307
|
|
||||
Rockwell Collins Stock Fund
|
422,244,892
|
|
|
—
|
|
|
—
|
|
|
422,244,892
|
|
||||
Common collective trusts - SSgA Target Retirement Funds
|
—
|
|
|
385,595,195
|
|
|
—
|
|
|
385,595,195
|
|
||||
Common collective trust - Managed Income Portfolio (stable value fund)
|
—
|
|
|
194,808,347
|
|
|
—
|
|
|
194,808,347
|
|
||||
Total Master Trust assets at fair value
|
$
|
2,088,243,699
|
|
|
$
|
580,403,542
|
|
|
$
|
—
|
|
|
$
|
2,668,647,241
|
|
|
|
|
Significant other
|
|
Significant
|
|
|
||||||||
|
Quoted prices in
|
|
observable
|
|
unobservable
|
|
|
||||||||
|
active markets
|
|
inputs
|
|
inputs
|
|
|
||||||||
|
(Level 1)
|
|
(Level 2)
|
|
(Level 3)
|
|
Total
|
||||||||
Mutual Funds:
|
|
|
|
|
|
|
|
||||||||
Large Cap
|
$
|
443,742,921
|
|
|
$
|
—
|
|
|
$
|
—
|
|
|
$
|
443,742,921
|
|
Mid Cap
|
213,664,885
|
|
|
—
|
|
|
—
|
|
|
213,664,885
|
|
||||
Small Cap
|
128,202,983
|
|
|
—
|
|
|
—
|
|
|
128,202,983
|
|
||||
Foreign
|
173,245,700
|
|
|
—
|
|
|
—
|
|
|
173,245,700
|
|
||||
Bond/Managed Income
|
186,330,957
|
|
|
—
|
|
|
—
|
|
|
186,330,957
|
|
||||
Money Market
|
12,359,403
|
|
|
—
|
|
|
—
|
|
|
12,359,403
|
|
||||
Blended/Balanced
|
421,275,831
|
|
|
—
|
|
|
—
|
|
|
421,275,831
|
|
||||
Rockwell Collins Stock Fund
|
385,571,742
|
|
|
—
|
|
|
—
|
|
|
385,571,742
|
|
||||
Common collective trust - Managed Income Portfolio (stable value fund)
|
—
|
|
|
194,994,809
|
|
|
—
|
|
|
194,994,809
|
|
||||
Total Master Trust assets at fair value
|
$
|
1,964,394,422
|
|
|
$
|
194,994,809
|
|
|
$
|
—
|
|
|
$
|
2,159,389,231
|
|
|
2013
|
||
Net assets available for benefits per the financial statements
|
$
|
115,816,855
|
|
Adjustment from contract value to fair value for fully benefit-responsive stable value fund
|
154,812
|
|
|
Net assets per the Form 5500
|
$
|
115,971,667
|
|
|
2013
|
||
Increase in net assets per the financial statements
|
$
|
23,086,430
|
|
Adjustment from contract value to fair value for fully benefit-responsive stable value fund
|
154,812
|
|
|
Increase in net assets per the Form 5500
|
$
|
23,241,242
|
|
|
Description of Investment
|
|
||
Identity of Issuer,
|
including Collateral, Rate
|
|
||
Borrower, Lessor
|
of Interest, Maturity Date,
|
Current
|
||
or Similar Party
|
Par or Maturity Value
|
Value **
|
||
|
|
|
||
Various participants*
|
Participant loans; (interest rates of 4.25% - 10.5%) due 2014 to 2023
|
$
|
3,724,266
|
|
|
|
|
/s/ Rosa F. Barone
|
Date:
|
|
Rosa F. Barone
|
|
|
Plan Administrator
|
|
|
|
|
|
/s/ Patrick E. Allen
|
Date:
|
|
Patrick E. Allen
|
|
|
Senior Vice President & Chief Financial Officer
|
|
|
|
|
|
|
|
|
|
|
|
1 Year Rockwell Collins Chart |
1 Month Rockwell Collins Chart |
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