SEC Form 4/A · accession 0001225208-19-001378
RTX Corp · RTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Robert Kelly Ortberg
Officer — CEO, Collins Aerospace Systems
Period of report
Nov 26, 2018
Accepted (ET)
Jan 28, 2019 · 4:56 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 StockF1,F2,F3 | Nov 26, 2018 | F | 4,762 | $127.98 | D | 112,635 | D | |
| Common StockF1,F2 | Nov 26, 2018 | F | 25,837 | $127.98 | D | 86,798 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The original Form 4 (filed on November 28, 2018) overstated the reporting person's holdings as a result of two transactions. First, as reported on the original Form 4, the reporting person disposed of 29,309 shares of Rockwell Collins common stock in connection with the vesting of certain performance shares, which resulted in 10,998 shares of UTC common stock. The original Form 4 should have reflected the tax withholding of 4,762 shares associated with this first transaction. Second, as also reported on the original Form 4, the reporting person disposed of 406,900 outstanding Rockwell Collins stock options, which resulted in 58,945 shares of UTC common stock. The original Form 4 should have reflected the tax withholding of 25,837 shares associated with this second transaction.
- F2The number of shares withheld for taxes was based on the closing price of UTC on November 26, 2018.
- F3The reporting person also held 368 shares of UTC common stock before becoming a Section 16 officer of UTC, of which 54 shares were inadvertently excluded from the reporting person's original Form 3 and the original Form 4, which is the subject of this amendment.