SEC Form 4 · accession 0001225208-18-008366
RTX Corp · RTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brian C Rogers
Director
Period of report
Apr 30, 2018
Accepted (ET)
May 1, 2018 · 4:37 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 | — | — | — | 5,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom Stock UnitF1 | — | Apr 30, 2018 | A | 2,705 | A | — | — | Common Stock | 2,705 | 9,681 | D |
Explanation of responses
- F1The reporting person acquired these Phantom Stock Units under the UTC Board of Directors Deferred Stock Unit Plan (the "Plan") in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.