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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
|
|
|
|
FINANCIAL STATEMENTS:
|
|
|
|
Statements of Net Assets Available for Benefits at December 31, 2016 and 2015
|
|
|
|
Statements of Changes in Net Assets Available for Benefits for the Years Ended December 31, 2016 and 2015
|
|
|
|
Notes to Financial Statements for the Years Ended December 31, 2016 and 2015
|
|
|
|
SUPPLEMENTAL SCHEDULE:
|
|
|
|
Form 5500, Schedule H, Part IV, Line 4i Schedule of Assets (Held at End of Year) as of December 31, 2016
|
|
2016
|
|
2015
|
||||
ASSETS:
|
|
|
|
||||
Investments at fair value
|
3,173,450,046
|
|
|
2,991,169,452
|
|
||
Investments at contract value
|
274,219,760
|
|
|
255,645,858
|
|
||
|
|
|
|
||||
Receivables:
|
|
|
|
||||
Notes receivable from participants
|
35,238,904
|
|
|
42,915,378
|
|
||
Other receivables
|
100,483
|
|
|
26,250
|
|
||
Total receivables
|
35,339,387
|
|
|
42,941,628
|
|
||
|
|
|
|
||||
Total assets
|
3,483,009,193
|
|
|
3,289,756,938
|
|
||
|
|
|
|
||||
LIABILITIES:
|
|
|
|
||||
Accrued expenses
|
(359,980
|
)
|
|
(165,563
|
)
|
||
|
|
|
|
||||
NET ASSETS AVAILABLE FOR BENEFITS
|
$
|
3,482,649,213
|
|
|
$
|
3,289,591,375
|
|
|
2016
|
|
2015
|
||||
Investment income
|
|
|
|
||||
Net appreciation in value of investments
|
$
|
174,904,360
|
|
|
$
|
—
|
|
Interest and dividends
|
52,587,107
|
|
|
—
|
|
||
Plan interest in net investment income of Rockwell Collins Defined Contribution Master Trust
|
—
|
|
|
54,294,013
|
|
||
Total investment income
|
227,491,467
|
|
|
54,294,013
|
|
||
|
|
|
|
||||
Contributions:
|
|
|
|
||||
Participants
|
132,731,907
|
|
|
111,991,410
|
|
||
Employer
|
95,764,078
|
|
|
80,601,766
|
|
||
Rollovers
|
15,047,893
|
|
|
7,726,973
|
|
||
Total contributions
|
243,543,878
|
|
|
200,320,149
|
|
||
|
|
|
|
||||
Interest from notes receivable from participants
|
1,612,653
|
|
|
1,360,161
|
|
||
|
|
|
|
||||
Other income
|
296,122
|
|
|
87,342
|
|
||
|
|
|
|
||||
Total additions
|
472,944,120
|
|
|
256,061,665
|
|
||
|
|
|
|
||||
Deductions:
|
|
|
|
||||
Benefit payments
|
(279,649,885
|
)
|
|
(212,557,358
|
)
|
||
Administrative expenses
|
(2,231,308
|
)
|
|
(1,332,593
|
)
|
||
Total deductions
|
(281,881,193
|
)
|
|
(213,889,951
|
)
|
||
|
|
|
|
||||
Transfers:
|
|
|
|
||||
Net transfers from merged plans
|
1,994,911
|
|
|
439,326,982
|
|
||
|
|
|
|
||||
NET INCREASE IN NET ASSETS AVAILABLE FOR BENEFITS
|
193,057,838
|
|
|
481,498,696
|
|
||
|
|
|
|
||||
NET ASSETS AVAILABLE FOR BENEFITS, BEGINNING OF YEAR
|
3,289,591,375
|
|
|
2,808,092,679
|
|
||
|
|
|
|
||||
NET ASSETS AVAILABLE FOR BENEFITS, END OF YEAR
|
$
|
3,482,649,213
|
|
|
$
|
3,289,591,375
|
|
•
|
Salaried and Certain Hourly Employees (the Salaried sub-plan)
|
•
|
Bargaining Unit Employees (the Bargaining Unit sub-plan)
|
•
|
IMS Non-Union Employees (the IMS Non-Union sub-plan)
|
•
|
IMS Union Employees (the IMS Union sub-plan)
|
Points
|
Contribution %
|
0-34
|
0.5%
|
35-44
|
1.0%
|
45-54
|
2.0%
|
55-64
|
3.5%
|
65-74
|
5.0%
|
75 & over
|
6.0%
|
Years of Service
|
Vesting Percentage
|
|
Less than one
|
0
|
%
|
One but less than two
|
20
|
%
|
Two but less than three
|
40
|
%
|
Three but less than four
|
60
|
%
|
Four but less than five
|
80
|
%
|
Five or more
|
100
|
%
|
•
|
Participants in the IMS Non-Union sub-plan became participants in the Salaried sub-plan with the same definition of eligible compensation and other provisions of the Salaried sub-plan.
|
•
|
Company matching contributions prior to January 1, 2017 for IMS Non-Union participants who transferred to the Salaried sub-plan will be 20% vested after completing one year of vesting service, 40% vested after completing two years of vesting service and 100% vested after completing three years of vesting service. Company matching contributions after December 31, 2016 will be 100% vested only after completing three years of vesting service.
|
•
|
IMS Non-Union participants who transferred to the Salaried sub-plan will receive Company retirement contributions on earnings after December 31, 2016.
|
•
|
Constant duration synthetic GIC investment contracts (GICs) that “wrap” underlying units of bank collective trusts. The bank collective trusts invest in high quality fixed income securities that are managed to closely match the characteristics and performance of certain fixed income indices. There are no known commitments or restrictions on the collective trusts. The Plan Sponsor has no plans to liquidate these funds. Each constant duration synthetic GIC investment contract has a contract value interest crediting rate that is reset each quarter, based on a pre-determined formula.
|
•
|
Fixed maturity synthetic GICs that “wrap” high quality fixed income assets that are intended to be held to their stated maturity. Each fixed maturity synthetic GIC investment contract has a contract value interest crediting rate that is reset each quarter, based on a pre-determined formula.
|
|
|
|
Significant other
|
|
Significant
|
|
|
|
|
||||||||||
|
Quoted prices in
|
|
observable
|
|
unobservable
|
|
NAV as a
|
|
|
||||||||||
|
active markets
|
|
inputs
|
|
inputs
|
|
practical
|
|
|
||||||||||
|
(Level 1)
|
|
(Level 2)
|
|
(Level 3)
|
|
expedient
|
|
Total
|
||||||||||
Mutual funds
|
$
|
1,468,017,974
|
|
|
$
|
—
|
|
|
$
|
—
|
|
|
|
|
$
|
1,468,017,974
|
|
||
Rockwell Collins Stock Fund
|
|
|
|
|
|
|
|
|
|
||||||||||
Common stock
|
481,232,816
|
|
|
—
|
|
|
—
|
|
|
|
|
481,232,816
|
|
||||||
Interest-bearing cash
|
—
|
|
|
3,636,520
|
|
|
—
|
|
|
|
|
3,636,520
|
|
||||||
Rockwell Collins SMID Cap Value Fund
|
|
|
|
|
|
|
|
|
|
||||||||||
Common stock
|
154,058,631
|
|
|
—
|
|
|
—
|
|
|
|
|
154,058,631
|
|
||||||
Interest-bearing cash
|
—
|
|
|
15,169,670
|
|
|
—
|
|
|
|
|
15,169,670
|
|
||||||
Total assets in the fair value hierarchy
|
$
|
2,103,309,421
|
|
|
$
|
18,806,190
|
|
|
$
|
—
|
|
|
|
|
$
|
2,122,115,611
|
|
||
Investments measured at net asset value
|
|
|
|
|
|
|
1,051,334,435
|
|
|
1,051,334,435
|
|
||||||||
Investments at fair value
|
$
|
2,103,309,421
|
|
|
$
|
18,806,190
|
|
|
$
|
—
|
|
|
$
|
1,051,334,435
|
|
|
$
|
3,173,450,046
|
|
|
|
|
Significant other
|
|
Significant
|
|
|
|
|
||||||||||
|
Quoted prices in
|
|
observable
|
|
unobservable
|
|
NAV as a
|
|
|
||||||||||
|
active markets
|
|
inputs
|
|
inputs
|
|
practical
|
|
|
||||||||||
|
(Level 1)
|
|
(Level 2)
|
|
(Level 3)
|
|
expedient
|
|
Total
|
||||||||||
Mutual funds
|
$
|
1,350,991,373
|
|
|
$
|
—
|
|
|
$
|
—
|
|
|
|
|
$
|
1,350,991,373
|
|
||
Rockwell Collins Stock Fund
|
|
|
|
|
|
|
|
|
|
||||||||||
Common stock
|
490,510,059
|
|
|
—
|
|
|
—
|
|
|
|
|
490,510,059
|
|
||||||
Interest-bearing cash
|
—
|
|
|
3,453,675
|
|
|
—
|
|
|
|
|
3,453,675
|
|
||||||
Rockwell Collins SMID Cap Value Fund
|
|
|
|
|
|
|
|
|
|
||||||||||
Common stock
|
149,280,883
|
|
|
—
|
|
|
—
|
|
|
|
|
149,280,883
|
|
||||||
Interest-bearing cash
|
—
|
|
|
12,921,036
|
|
|
—
|
|
|
|
|
12,921,036
|
|
||||||
Total assets in the fair value hierarchy
|
$
|
1,990,782,315
|
|
|
$
|
16,374,711
|
|
|
$
|
—
|
|
|
|
|
$
|
2,007,157,026
|
|
||
Investments measured at net asset value
|
|
|
|
|
|
|
984,012,426
|
|
|
984,012,426
|
|
||||||||
Investments at fair value
|
$
|
1,990,782,315
|
|
|
$
|
16,374,711
|
|
|
$
|
—
|
|
|
$
|
984,012,426
|
|
|
$
|
2,991,169,452
|
|
|
2016
|
||
Investment income per the financial statements
|
$
|
227,491,467
|
|
Adjustment from contract value to fair value for fully benefit-responsive stable value fund, current year
|
—
|
|
|
Adjustment from contract value to fair value for fully benefit-responsive stable value fund, prior year
|
(279,755
|
)
|
|
Investment income per the Form 5500
|
$
|
227,211,712
|
|
|
2015
|
||
Net assets available for benefits per the financial statements
|
$
|
3,289,591,375
|
|
Adjustment from contract value to fair value for fully benefit-responsive stable value fund
|
279,755
|
|
|
Net assets per the Form 5500
|
$
|
3,289,871,130
|
|
Identity of Issue
|
Description of Investment
|
Current Value
|
|
Fidelity Capital & Income *
|
Mutual fund
|
89,490,835
|
|
Fidelity Strategic Real Return *
|
Mutual fund
|
10,727,704
|
|
Fidelity Extended Market Index Fund Premium Class *
|
Mutual fund
|
71,248,921
|
|
Vanguard FTSE All-World
|
Mutual fund
|
51,824,756
|
|
Loomis Small-Cap Growth N
|
Mutual fund
|
105,899,718
|
|
Vanguard Institutional Index Plus
|
Mutual fund
|
321,324,577
|
|
Vanguard Prime-Cap Admiral
|
Mutual fund
|
347,996,649
|
|
MFS International Value R6
|
Mutual fund
|
117,468,293
|
|
MFS Value R6
|
Mutual fund
|
121,580,531
|
|
Vanguard Total BD Market Index
|
Mutual fund
|
230,455,990
|
|
Fidelity Diversified International *
|
Collective trust
|
60,260,061
|
|
Fidelity Blue Chip Growth *
|
Collective trust
|
117,807,509
|
|
Fidelity Mid-Cap *
|
Collective trust
|
170,148,117
|
|
State Street Target Retirement 2060
|
Collective trust
|
796,536
|
|
State Street Target Retirement Income
|
Collective trust
|
25,666,454
|
|
State Street Target Retirement 2015
|
Collective trust
|
42,464,517
|
|
State Street Target Retirement 2020
|
Collective trust
|
130,395,307
|
|
State Street Target Retirement 2025
|
Collective trust
|
136,343,151
|
|
State Street Target Retirement 2030
|
Collective trust
|
134,158,036
|
|
State Street Target Retirement 2035
|
Collective trust
|
70,149,527
|
|
State Street Target Retirement 2040
|
Collective trust
|
74,015,591
|
|
State Street Target Retirement 2045
|
Collective trust
|
40,840,707
|
|
State Street Target Retirement 2050
|
Collective trust
|
38,954,249
|
|
State Street Target Retirement 2055
|
Collective trust
|
9,334,673
|
|
Rockwell Collins SMID Cap Value Fund:
|
|
|
|
Aaron's, Inc.
|
Common stock
|
4,039,020
|
|
Aircastle Ltd.
|
Common stock
|
1,236,092
|
|
Anixter International, Inc.
|
Common stock
|
859,049
|
|
Avis Budget Group, Inc.
|
Common stock
|
1,548,410
|
|
Axalta Coating Systems Ltd.
|
Common stock
|
4,161,981
|
|
B&G Foods, Inc.
|
Common stock
|
3,338,962
|
|
BankUnited, Inc.
|
Common stock
|
4,715,810
|
|
BOK Financial Corp.
|
Common stock
|
3,470,325
|
|
Borgwarner, Inc.
|
Common stock
|
4,076,282
|
|
Boston Scientific Corp.
|
Common stock
|
3,589,023
|
|
Broadridge Financial Solutions, Inc.
|
Common stock
|
795,534
|
|
Brown & Brown, Inc.
|
Common stock
|
2,671,637
|
|
Cimarex Energy Co.
|
Common stock
|
5,813,123
|
|
Colfax Corp.
|
Common stock
|
2,459,876
|
|
Colony Capital, Inc. (Cl A)
|
Common stock
|
1,365,275
|
|
CommScope Holding Co., Inc.
|
Common stock
|
2,836,388
|
|
Coty, Inc. (CI A)
|
Common stock
|
1,526,962
|
|
Identity of Issue
|
Description of Investment
|
Current Value
|
|
|
CubeSmart
|
Common stock
|
1,323,777
|
|
|
Dover Corp.
|
Common stock
|
1,216,489
|
|
|
Edgewell Personal Care Co.
|
Common stock
|
1,348,855
|
|
|
Endurance Specialty Holdings Ltd.
|
Common stock
|
3,109,722
|
|
|
Enstar Group Ltd.
|
Common stock
|
987,314
|
|
|
First Horizon National Corp.
|
Common stock
|
2,400,680
|
|
|
First Republic Bank
|
Common stock
|
2,877,348
|
|
|
Flowers Foods, Inc.
|
Common stock
|
2,704,817
|
|
|
Fortis, Inc.
|
Common stock
|
791,269
|
|
|
Goodyear Tire & Rubber Co.
|
Common stock
|
1,809,291
|
|
|
Hanesbrands, Inc.
|
Common stock
|
2,342,265
|
|
|
Hub Group, Inc.
|
Common stock
|
5,021,713
|
|
|
iStar, Inc.
|
Common stock
|
2,177,306
|
|
|
Jones Lang Lasalle, Inc.
|
Common stock
|
1,663,523
|
|
|
Juniper Networks, Inc.
|
Common stock
|
3,495,056
|
|
|
Keysight Technologies, Inc.
|
Common stock
|
1,249,341
|
|
|
Kirby Corp.
|
Common stock
|
2,849,791
|
|
|
Lifepoint Health, Inc.
|
Common stock
|
3,760,842
|
|
|
Linear Technology Corp.
|
Common stock
|
3,140,258
|
|
|
Mid-America Apartment Communities, Inc.
|
Common stock
|
1,889,758
|
|
|
Molson Coors Brewing Co. (Cl B)
|
Common stock
|
2,705,510
|
|
|
Nationstar Mortgage Holdings, Inc.
|
Common stock
|
3,726,049
|
|
|
Navigators Group, Inc.
|
Common stock
|
2,305,427
|
|
|
Newell Brands, Inc.
|
Common stock
|
2,498,927
|
|
|
NVR, Inc.
|
Common stock
|
2,772,209
|
|
|
Orthofix International N.V.
|
Common stock
|
1,722,964
|
|
|
Parker Hannifin Corp.
|
Common stock
|
1,193,220
|
|
|
Popular, Inc.
|
Common stock
|
2,627,842
|
|
|
Post Holdings, Inc.
|
Common stock
|
4,032,202
|
|
|
Red Rock Resorts, Inc.
|
Common stock
|
2,479,452
|
|
|
Reinsurance Group of America
|
Common stock
|
2,492,566
|
|
|
SPX Flow, Inc.
|
Common stock
|
1,302,373
|
|
|
Staples, Inc.
|
Common stock
|
2,363,552
|
|
|
SVB Financial Group
|
Common stock
|
1,932,033
|
|
|
Tegna, Inc.
|
Common stock
|
2,745,086
|
|
|
Treehouse Foods, Inc.
|
Common stock
|
1,376,663
|
|
|
UGI Corp.
|
Common stock
|
3,505,997
|
|
|
Universal American Corp.
|
Common stock
|
1,828,492
|
|
|
Vantiv, Inc.
|
Common stock
|
3,076,809
|
|
|
Whirlpool Corp.
|
Common stock
|
2,838,520
|
|
|
Willis Towers Watson PLC
|
Common stock
|
7,297,181
|
|
|
XL Group Ltd.
|
Common stock
|
2,572,393
|
|
|
Fidelity (STIF) *
|
Interest-bearing cash
|
15,169,670
|
|
|
Rockwell Collins Stable Value Fund:
|
|
|
||
Fidelity (STIF) (100-31-TPLX) *
|
Interest-bearing cash
|
11,748,895
|
|
|
Voya
|
Collective trust
|
59,650,353
|
|
|
Transamerica Premier Life
|
Collective trust
|
54,390,216
|
|
|
American General Life
|
Collective trust
|
24,729,255
|
|
Identity of Issue
|
Description of Investment
|
Current Value
|
|
|
RGA Reinsurance Company
|
Collective trust
|
40,880,314
|
|
|
Bank of Tokyo - Mitsubishi
|
Collective trust
|
40,865,505
|
|
|
American General (1635893)
|
Fixed income security
|
41,955,222
|
|
|
Rockwell Collins Stock Fund *
|
|
|
||
Rockwell Collins, Inc.
|
Common stock
|
481,232,816
|
|
|
Fidelity Instl Cash US Govt Fund
|
Interest-bearing cash
|
3,636,520
|
|
|
Participant loans *
|
Interest rates ranging from 4.25% to 9.25%, due from 2017 to 2026
|
35,238,904
|
|
|
Assets held at December 31, 2016
|
|
$
|
3,482,908,710
|
|
/s/ Rosa F. Barone
|
Date:
|
June 27, 2017
|
Rosa F. Barone
|
|
|
Plan Administrator
|
|
|
|
|
|
/s/ Patrick E. Allen
|
Date:
|
June 27, 2017
|
Patrick E. Allen
|
|
|
Senior Vice President & Chief Financial Officer
|
|
|
|
|
|
|
|
|
|
|
|
1 Year Rockwell Collins Chart |
1 Month Rockwell Collins Chart |
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