SEC Form 4 · accession 0001225208-17-008414
RTX Corp · RTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Marshall O Larsen
Director
Period of report
Apr 24, 2017
Accepted (ET)
Apr 26, 2017 · 4:36 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 | holding | — | — | — | 5,432 | I | By Family Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom Stock UnitF2 | — | Apr 24, 2017 | A | 1,702 | A | — | — | Common Stock | 1,702 | 14,749 | D |
Explanation of responses
- F1On May 1, 2016, 1,000 shares held directly by the reporting person were transferred to a family trust, of which the reporting person and his spouse are trustees, and 600 shares held indirectly through the reporting person's spouse were transferred to the same trust.
- F2The reporting person acquired these Phantom Stock Units under the UTC Board of Directors Deferred Stock Unit Plan (the "Plan") in connection with the reporting person's annual compensation for service as a non-employee director. Upon retirement or termination, the stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.
Remarks
larsen.txt