SEC Form 4 · accession 0001225208-16-038979
RTX Corp · RTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Neil G. Mitchill Jr.
Officer — Corp VP, Controller
Period of report
Sep 2, 2016
Accepted (ET)
Sep 7, 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 StockF1 | Sep 2, 2016 | M | 1,441 | $0.00 | A | 1,441 | D | |
| Common Stock | Sep 2, 2016 | F | 495 | $106.93 | D | 946 | D | |
| Common Stock | holding | — | — | — | 186 | 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 | — | Sep 2, 2016 | M | 1,441 | D | — | — | Common Stock | 1,441 | 1,440 | D |
Explanation of responses
- F1Restricted stock units (RSUs), including dividend equivalent rights, convert into UTC common stock on a one-for-one basis.
- F2On September 2, 2014, the reporting person was granted 2,760 restricted stock units (RSUs), which included the right to receive dividend equivalents when dividends are paid on UTC's common stock. On the second anniversary of the grant date, September 2, 2016, 1,441 RSUs, which included accumulated dividend equivalents, vested and were converted to common stock.
Remarks
neilgmitchill.txt