SEC Form 4 · accession 0001225208-18-007348
RTX Corp · RTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert F Leduc
Officer — President, Pratt & Whitney
Period of report
Apr 2, 2018
Accepted (ET)
Apr 4, 2018 · 4:32 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 | Apr 2, 2018 | M | 4,648 | $0.00 | A | 54,240 | D | |
| Common Stock | Apr 2, 2018 | F | 1,462 | $123.48 | D | 52,778 | D | |
| Common Stock | holding | — | — | — | 4,339 | 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 | — | Apr 2, 2018 | M | 4,648 | D | Apr 1, 2018 | — | Common Stock | 4,648 | 0 | D |
Explanation of responses
- F1Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represent a contingent right to receive one share of UTC Common Stock.
- F2On April 1, 2015, the reporting person was granted 4,320 RSUs, which included the right to receive dividend equivalents. On April 1, 2018, the third anniversary of the grant date, 4,648 RSUs, which included accumulated dividend equivalents, vested; however, because April 1, 2018 fell on a Sunday, the earliest date the transaction could be reported was April 2.