SEC Form 4 · accession 0001225208-15-000844
RTX Corp · RTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Geraud Darnis
Officer — Pres. & CEO, UTC Bldg. & Ind.
Period of report
Jan 2, 2015
Accepted (ET)
Jan 6, 2015 · 5:10 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000101829
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | holding | — | — | — | 138,535 | D | ||
| Common Stock (Career Restricted) | holding | — | — | — | 4,224 | D | ||
| Common Stock | holding | — | — | — | 10,557 | I | By Savings Plan Trustee | |
| Common Stock | holding | — | — | — | 15,710 | I | By Trust 2 | |
| Common Stock | holding | — | — | — | 5,850 | I | Trust 3 |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Appreciation RightF1 | $115.04 | Jan 2, 2015 | A | 92,000 | A | Jan 2, 2018 | Jan 1, 2025 | Common Stock | 92,000 | 92,000 | D |
Explanation of responses
- F1The reporting person was also awarded 22,000 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 UTCs earnings per share and total shareholder return over a three year time period.