SEC Form 4 · accession 0001225208-17-009050
RTX Corp · RTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael R Dumais
Officer — EVP, Operations & Strategy
Period of report
May 1, 2017
Accepted (ET)
May 3, 2017 · 4:43 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 | holding | — | — | — | 18,948 | D | ||
| Common Stock | holding | — | — | — | 1,682 | 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 | — | May 1, 2017 | A | 8,410 | A | — | — | Common Stock | 8,410 | 8,410 | D |
Explanation of responses
- F1Each restricted stock unit ("RSU"), including dividend equivalents, represents a contingent right to receive one share of UTC common stock.
- F2The reporting person was awarded 8,410 RSUs, of which 4,205 RSUs plus accumulated dividend equivalents vest on May 1, 2019, and 4,205 RSUs plus accumulated dividend equivalents vest on May 1, 2021.