SEC Form 4 · accession 0001225208-16-038775
RTX Corp · RTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John V Faraci
Director
Period of report
Jun 3, 2015
Accepted (ET)
Sep 2, 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 | Jun 3, 2015 | P | 860 | $118.6551 | A | 860 | D | |
| Common Stock | Jul 10, 2015 | P | 80 | $109.9173 | A | 940 | D | |
| Common Stock | Aug 4, 2015 | P | 239 | $99.5884 | A | 1,179 | D | |
| Common StockF2 | Oct 2, 2015 | S | 42 | $87.1357 | D | 1,145 | D | |
| Common StockF2 | Feb 10, 2016 | S | 1,153 | $87.9628 | D | 0 | D | |
| Common Stock | Feb 22, 2016 | S | 0 | $89.10 | D | 0 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The transactions reported in this Form 4 were executed by the reporting person's investment advisor in a managed account as part of the investment advisor's implementation of a large-cap investment strategy involving the securities of multiple issuers. These transactions did not result in a short swing profit because the purchase prices were in each case greater than any of the matchable sale prices and, as a result, no disgorgement to the issuer is required of the reporting person.
- F2Includes additional shares acquired through reinvestment of dividends, which are transactions exempt from reporting under SEC Rule 16a-11.