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RTX Corp — Director's Dealing 2020
Oct 23, 2020
29781_dirs_2020-10-23_432f0c57-b917-451b-8eea-1bd2c98f5622.zip
Director's Dealing
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SEC Form 3/A — Form 3/A
Issuer: RAYTHEON TECHNOLOGIES CORP (RTX)
CIK: 0000101829
Period of Report: 2020-06-10
Reporting Person: Williams Dantaya M (Chief Human Resources Officer)
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Restricted Stock Units | $ | Common Stock (2077.0000) | Direct | ||
| Restricted Stock Units | $ | Common Stock (1831.0000) | Direct | ||
| Restricted Stock Units | $ | Common Stock (1352.0000) | Direct | ||
| Restricted Stock Units | $ | Common Stock (909.0000) | Direct | ||
| SRP Stock Unit | $ | Common Stock (363.7450) | Direct | ||
| Stock Appreciation Right | $62.4100 | 2023-01-01 | Common Stock (3745.0000) | Direct | |
| Stock Appreciation Right | $71.0100 | 2026-01-03 | Common Stock (2553.0000) | Direct | |
| Stock Appreciation Right | $71.6200 | 2029-02-04 | Common Stock (12142.0000) | Direct | |
| Stock Appreciation Right | $76.0000 | 2028-01-01 | Common Stock (4975.0000) | Direct | |
| Stock Appreciation Right | $82.3500 | 2027-01-02 | Common Stock (4681.0000) | Direct | |
| Stock Appreciation Right | $83.5800 | 2024-01-01 | Common Stock (2809.0000) | Direct | |
| Stock Appreciation Right | $85.4700 | 2025-01-01 | Common Stock (1872.0000) | Direct | |
| Stock Appreciation Right | $90.7300 | 2030-02-03 | Common Stock (10118.0000) | Direct |
Footnotes
F1: Each Restricted Stock Unit ("RSU"), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of RTX Common Stock.
F2: On April 3, 2020, United Technologies Corporation completed its separation into three independent, publicly-traded companies (the "Separation"): United Technologies Corporation, Carrier Global Corporation, and Otis Worldwide Corporation and, immediately following the Separation, United Technologies Corporation completed its merger of equals with Raytheon Company to form RTX. In connection with the Separation, all equity awards held by the reporting person with respect to United Technologies Corporation common stock as of the Separation were equitably adjusted. This Form 3 is being amended to reflect the number of RTX shares underlying, and the applicable exercise price (if any), of each equity award after giving effect to such adjustment, which had not yet been determined as of the date of the original filing.
F3: Each Savings Restoration Plan ("SRP") stock unit is the economic equivalent of one share of RTX common stock. The reported SRP stock units were acquired under legacy United Technologies Corporation's Savings Restoration Plan, an excess benefit plan, and are to be settled upon the reporting person's retirement or other termination of service.
F4: In February 2019, the reporting person was also awarded performance share units ("PSUs") under the legacy United Technologies Corporation Long-Term Incentive Plan, which after giving effect to the Separation-related adjustment were converted to RSUs and relate to 1,070 shares of RTX Common Stock. Each RSU represents the right to receive one share of RTX Common Stock.
F5: In January 2018, the reporting person was also awarded PSUs under the legacy United Technologies Corporation Long-Term Incentive Plan, which after giving effect to the Separation-related adjustment were converted to RSUs and relate to 883 shares of RTX Common Stock. Each RSU represents the right to receive one share of RTX Common Stock.