SEC Form 4 · accession 0001225208-16-037256
RTX Corp · RTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Philippe Delpech
Officer — President, Otis Elevator
Period of report
Jul 28, 2016
Accepted (ET)
Aug 1, 2016 · 5:04 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 | Jul 28, 2016 | M | 18,400 | $74.66 | A | 56,521 | D | |
| Common Stock | Jul 28, 2016 | M | 12,300 | $78.99 | A | 68,821 | D | |
| Common Stock | Jul 28, 2016 | M | 10,100 | $71.63 | A | 78,921 | D | |
| Common StockF1 | Jul 28, 2016 | S | 40,800 | $107.7222 | D | 38,121 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock Option (right to buy) | $78.99 | Jul 28, 2016 | M | 12,300 | D | Jan 3, 2014 | Jan 2, 2021 | Common Stock | 12,300 | 0 | D |
| Non-Qualified Stock Option (right to buy) | $74.66 | Jul 28, 2016 | M | 18,400 | D | Jan 3, 2015 | Jan 2, 2022 | Common Stock | 18,400 | 0 | D |
| Non-Qualified Stock Option (right to buy) | $71.63 | Jul 28, 2016 | M | 10,100 | D | Jan 4, 2013 | Jan 3, 2020 | Common Stock | 10,100 | 0 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices ranged from $107.645 to $107.810 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.