SEC Form 4 · accession 0001225208-18-000662

RTX Corp · RTX

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

Reporting owner

Officer — Executive VP and CFO

Period of report

Jan 2, 2018

Accepted (ET)

Jan 4, 2018 · 4:31 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	Jan 2, 2018	M	39,290	$0.00	A	51,635	D
Common Stock	Jan 2, 2018	F	18,211	$128.16	D	33,424	D
Common Stock	holding	—	—		—	4,393	I	By Savings Plan Trustee

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Restricted Stock Units RSU^F1,F2	—	Jan 2, 2018	M	39,290	D	Jan 2, 2018	—	Common Stock	39,290	0	D
Restricted Stock Units RSU^F1	—	Jan 2, 2018	A	6,500	A	Jan 2, 2021	—	Common Stock	6,500	6,500	D
Stock Appreciation Right^F3	$128.16	Jan 2, 2018	A	53,500	A	Jan 2, 2021	Jan 1, 2028	Common Stock	53,500	53,500	D

F1Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of UTC Common Stock.
F2On January 2, 2015, the reporting person was granted 36,510 RSUs, which included the right to receive dividend equivalents. On January 2, 2018, the third anniversary of the grant date, 39,290 RSUs, which included 2,780 accumulated dividend equivalents, vested.
F3The reporting person was also awarded 16,100 performance share units (PSUs) under the UTC Long-Term Incentive Plan. Each PSU has a value equal to one share of UTC Common Stock. These PSUs vest solely upon achievement of pre-established performance targets for UTC's return on invested capital, earnings per share growth and total shareholder return relative to the S&P 500 index over a three-year time period.