SEC Form 4 · accession 0001225208-15-003587
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
Feb 9, 2015
Accepted (ET)
Feb 11, 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 StockF1 | Feb 9, 2015 | A | 27,270 | $119.32 | A | 175,531 | D | |
| Common Stock | Feb 9, 2015 | F | 636 | $119.32 | D | 174,895 | D | |
| Common Stock | Jan 9, 2015 | G | 5,984 | $114.255 | D | 0 | I | By Trust 2 |
| Common Stock | Jan 9, 2015 | G | 5,984 | $114.255 | A | 11,834 | I | Trust 3 |
| Common Stock (Career Restricted) | holding | — | — | — | 4,224 | D | ||
| Common Stock | holding | — | — | — | 10,572 | I | By Savings Plan Trustee |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The reporting person acquired UTC deferred stock units upon the vesting of performance share units (PSUs) previously awarded on January 3, 2012 to the reporting person under United Technologies Corporation Long-Term Incentive Plan. Each PSU has a value equal to one share of UTC common stock. The PSUs vested solely upon achievement of pre-established performance targets for UTC's earnings per share and total shareholder return over a three-year performance period. The reporting person previously elected to defer receipt of the actual shares of common stock that otherwise would be received upon the vesting of these PSUs and acquired instead of deferred stock units that settle exclusively in shares and are included in Table 1 as common stock equivalents. Each deferred stock unit has a value equal to one share of UTC common stock.