SEC Form 4 · accession 0001225208-16-034566
RTX Corp · RTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David R Whitehouse
Officer — Corp VP, Treasurer
Period of report
Jun 1, 2016
Accepted (ET)
Jun 3, 2016 · 5:03 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 StockF1 | Jun 1, 2016 | M | 1,674 | $0.00 | A | 3,777 | D | |
| Common Stock | Jun 1, 2016 | F | 577 | $100.35 | D | 3,200 | D | |
| Common Stock | holding | — | — | — | 235 | I | By Savings Plan Trustee |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock Units RSUF1,F2 | — | Jun 1, 2016 | M | 1,674 | D | — | — | Common Stock | 1,674 | 0 | D |
Explanation of responses
- F1Restricted stock units (RSUs) convert into UTC common stock on a one-for-one basis.
- F2On June 1, 2012, the reporting person was granted 1,527 restricted stock units (RSUs), which included the right to receive dividend equivalents when quarterly dividends are paid on UTC's common stock. The 1,674 RSUs include accumulated dividend equivalents. The RSUs vested on the fourth anniversary of the grant date, June 1, 2016.