RTX Corp — Director's Dealing 2020

Feb 14, 2020

SEC Form 3 — Initial Statement of Beneficial Ownership

Issuer: UNITED TECHNOLOGIES CORP /DE/ (UTX)
CIK: 0000101829
Period of Report: 2020-02-07

Reporting Person: Timm Stephen J. (President, Collins Aerospace)

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	1482.0000	Direct
Common Stock	304.0000	Indirect
Common Stock	371.0000	Indirect

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Restricted Stock Units RSU	$		Common Stock (1463.0000)		Direct
Restricted Stock Units RSU	$		Common Stock (1247.0000)		Direct
Restricted Stock Units RSU	$		Common Stock (416.0000)		Direct
Rockwell NQSP	$		Common Stock (70.9880)		Direct
Stock Appreciation Right	$120.7700	2029-02-04	Common Stock (4400.0000)		Direct
Stock Appreciation Right	$131.9600	2029-07-01	Common Stock (12600.0000)		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 UTC Common Stock.

F2: Each restricted stock unit (RSU) represents a contingent right to receive one share of UTC common stock.

F3: Each Rockwell Non-Qualified Savings Plan ("NQSP") stock unit is the economic equivalent of one share of UTC common stock. The reported NQSP stock units were acquired under legacy Rockwell Collins' NQSP, an excess benefit plan, and are to be settled upon the reporting person's retirement or other termination of service.

F4: The reporting person was also awarded 960 performance share units (PSUs) under the UTC Long-Term Incentive Plan. Each PSU has a value equal to one share of UTC Common Stock. These PSUs vest solely upon achievement of pre-established performance targets for UTC's return on invested capital, earnings per share growth and total shareholder return relative to the S&P 500 index over a three-year time period.