RTX Corp — Director's Dealing 2019

Jan 28, 2019

SEC Form 4/A — Form 4/A

Issuer: UNITED TECHNOLOGIES CORP /DE/ (UTX)
CIK: 0000101829
Period of Report: 2018-11-26

Reporting Person: Ortberg Robert Kelly (CEO, Collins Aerospace Systems)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2018-11-26	Common Stock	F	4762.0000	$127.9800	Disposed	112635.0000	Direct
2018-11-26	Common Stock	F	25837.0000	$127.9800	Disposed	86798.0000	Direct

Footnotes

F1: The original Form 4 (filed on November 28, 2018) overstated the reporting person's holdings as a result of two transactions. First, as reported on the original Form 4, the reporting person disposed of 29,309 shares of Rockwell Collins common stock in connection with the vesting of certain performance shares, which resulted in 10,998 shares of UTC common stock. The original Form 4 should have reflected the tax withholding of 4,762 shares associated with this first transaction. Second, as also reported on the original Form 4, the reporting person disposed of 406,900 outstanding Rockwell Collins stock options, which resulted in 58,945 shares of UTC common stock. The original Form 4 should have reflected the tax withholding of 25,837 shares associated with this second transaction.

F2: The number of shares withheld for taxes was based on the closing price of UTC on November 26, 2018.

F3: The reporting person also held 368 shares of UTC common stock before becoming a Section 16 officer of UTC, of which 54 shares were inadvertently excluded from the reporting person's original Form 3 and the original Form 4, which is the subject of this amendment.