SEC Form 4 · accession 0001225208-16-037155

RTX Corp · RTX

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Executive VP & General Counsel

Period of report

Jul 27, 2016

Accepted (ET)

Jul 29, 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 Stock^F1	Jul 27, 2016	M	23,500	$75.21	A	55,278	D
Common Stock^F2	Jul 27, 2016	S	7,144	$108.0501	D	48,134	D
Common Stock	Jul 27, 2016	D	16,356	$108.06	D	31,778	D
Common Stock	holding	—	—		—	7,495	I	By Savings Plan Trustee
Common Stock	holding	—	—		—	1,546	I	By Spouse's IRA

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Appreciation Right	$75.21	Jul 27, 2016	M	23,500	D	Jan 2, 2011	Jan 1, 2018	Common Stock	23,500	20,000	D

F1The Stock Appreciation Rights (SARs) were settled in shares in accordance with the terms of the award. For Section 16 reporting purposes, the exercise of SARs for stock is treated as an exempt acquisition of the shares underlying the SARs at the exercise price per share specified in the award of SARs and a simultaneous sale back to the issuer of a number of the underlying shares having a value, based on the market price of the issuer's stock on the date of the exercise, equal to the product of the number of underlying SARs times the exercise price per share.
F2The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices ranged from $108.05 to $108.06 per share. Upon request, the reporting person will provide to the Commission staff, the issuer, or a security holder of the issuer full information regarding the number of shares sold at each separate price.