SEC Form 4 · accession 0001225208-16-031884
RTX Corp · RTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Andre F H Villeneuve
Director
Period of report
Apr 25, 2016
Accepted (ET)
Apr 27, 2016 · 5:05 pm EDT
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 (Restricted) | holding | — | — | — | 4,800 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom Stock UnitF1 | — | Apr 25, 2016 | A | 1,768 | A | — | — | Common Stock | 1,768 | 71,707 | D |
Explanation of responses
- F1Consists of Phantom Stock Units acquired by the reporting person under the United Technologies Corporation Board of Directors Deferred Stock Unit Plan in respect of his/her annual retainer for services as a non-employee Director. The Plan provides for payment of all or a portion of the retainer in deferred stock units. Upon termination of service as a member of the Board of Directors, the non-employee Director will be entitled to receive a number of shares of Common Stock of United Technologies Corporation equal to the balance of Phantom Stock Units then held in his/her account under the Plan, distributed either as a lump sum or in installments, as previously elected pursuant to the Plan.