SEC Form 4 · accession 0001225208-17-003944

RTX Corp · RTX

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

Reporting owner

Officer — Executive VP & General Counsel

Period of report

Feb 17, 2017

Accepted (ET)

Feb 21, 2017 · 4:36 pm EST

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	Feb 17, 2017	M	74,500	$54.95	A	106,278	D
Common Stock	Feb 17, 2017	D	36,525	$112.08	D	69,753	D
Common Stock^F2	Feb 17, 2017	S	37,975	$112.0149	D	31,778	D
Common Stock	holding	—	—		—	7,720	I	By Savings Plan Trustee
Common Stock	holding	—	—		—	1,546	I	By Spouse

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Appreciation Right	$54.95	Feb 17, 2017	M	74,500	D	Jan 2, 2012	Jan 1, 2019	Common Stock	74,500	0	D

F1The Stock Appreciation Rights (SARs) were settled in shares in accordance with 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 range from $112.00 to $112.14 per share. The reporting person has provided to the issuer, and undertakes to provide to the Commission staff or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price within the range.