SEC Form 4 · accession 0001225208-17-016941
RTX Corp · RTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Judith Fran Marks
Officer — President, Otis
Period of report
Nov 1, 2017
Accepted (ET)
Nov 3, 2017 · 4:33 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000101829
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1 | — | Nov 1, 2017 | A | 16,660 | A | — | — | Common Stock | 16,660 | 16,660 | D |
| Restricted Stock Units RSUF2 | — | Nov 1, 2017 | A | 8,330 | A | Nov 1, 2020 | — | Common Stock | 8,330 | 8,330 | D |
Explanation of responses
- F1The RSUs were awarded in connection with the reporting person's membership in UTC's Executive Leadership Group. Following three years of ELG service, each RSU, including accumulated dividend equivalents, represents a right to receive one share of UTC common stock upon a Qualifying Separation from UTC (as defined in Exhibit 10.6 of UTC's 2016 Form 10-K).
- F2Each Restricted Stock Unit (RSU), including accumulated dividend equivalents, represents a contingent right to receive one share of UTC common stock.