SEC Form 4 · accession 0001225208-17-012348
RTX Corp · RTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Philippe Delpech
Officer — President, Otis Elevator
Period of report
Jul 1, 2017
Accepted (ET)
Jul 6, 2017 · 4:33 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 | Jul 1, 2017 | M | 11,574 | $0.00 | A | 49,695 | D | |
| Common Stock | Jul 1, 2017 | F | 1,060 | $122.08 | D | 48,635 | D |
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 | — | Jul 1, 2017 | M | 11,574 | D | — | — | Common Stock | 11,574 | 0 | D |
Explanation of responses
- F1Each restricted stock unit (RSU), including dividend equivalents, represents a contingent right to receive one share of UTC Common Stock.
- F2On July 1, 2013, the reporting person was granted 21,110 RSUs, which included the right to receive dividend equivalents. On July 1, 2015, the second anniversary of the grant date, 11,005 RSUs, which included accumulated dividend equivalents, vested. On July 1, 2017, the remaining RSUs, including accumulated dividend equivalents, vested.