0000947871-20-000333.txt : 20200408 0000947871-20-000333.hdr.sgml : 20200408 20200408122507 ACCESSION NUMBER: 0000947871-20-000333 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200403 FILED AS OF DATE: 20200408 DATE AS OF CHANGE: 20200408 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Kennedy Thomas A CENTRAL INDEX KEY: 0001495635 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00812 FILM NUMBER: 20781557 MAIL ADDRESS: STREET 1: 870 WINTER STREET CITY: WALTHAM STATE: MA ZIP: 02451 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: RAYTHEON TECHNOLOGIES CORP CENTRAL INDEX KEY: 0000101829 STANDARD INDUSTRIAL CLASSIFICATION: AIRCRAFT ENGINES & ENGINE PARTS [3724] IRS NUMBER: 060570975 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 870 WINTER STREET CITY: WALTHAM STATE: MA ZIP: 02451 BUSINESS PHONE: 8607287000 MAIL ADDRESS: STREET 1: 870 WINTER STREET CITY: WALTHAM STATE: MA ZIP: 02451 FORMER COMPANY: FORMER CONFORMED NAME: UNITED TECHNOLOGIES CORP /DE/ DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: UNITED TECHNOLOGIES MICROELECTRONICS CENTER DATE OF NAME CHANGE: 19850825 FORMER COMPANY: FORMER CONFORMED NAME: UNITED TECHNOLOGIES CORP DATE OF NAME CHANGE: 19841205 4 1 ownership.xml X0306 4 2020-04-03 0 0000101829 RAYTHEON TECHNOLOGIES CORP RTX 0001495635 Kennedy Thomas A 870 WINTER STREET WALTHAM MA 02451 1 1 0 0 Executive Chairman Common Stock 2020-04-03 4 A 0 351742 A 351742 D Common Stock 2020-04-03 4 F 0 8260 49.93 D 343482 D Restricted Stock Units 2020-04-03 4 A 0 32183 A Common Stock 32183 32183 D Restricted Stock Units 2020-04-03 4 A 0 52262 A Common Stock 52262 84445 D Restricted Stock Units 2020-04-03 4 A 0 67733 A Common Stock 67733 152178 D Restricted Stock Units 2020-04-03 4 A 0 103182 A Common Stock 103182 255360 D Restricted Stock Units 2020-04-03 4 A 0 98274 A Common Stock 98274 353634 D Restricted Stock Units 2020-04-03 4 A 0 64707 A Common Stock 64707 418341 D Pursuant to the terms of the Agreement and Plan of Merger, dated as of June 9, 2019, as amended by Amendment No. 1 to the Agreement and Plan of Merger, dated as of March 9, 2020, by and between United Technologies Corporation ("UTC") and Raytheon Company ("Raytheon") (the "Merger Agreement"), on April 3, 2020 (the "Closing Date"), Raytheon became a wholly owned subsidiary of UTC, with UTC becoming Raytheon Technologies Corporation. Pursuant to the Merger Agreement, on the Closing Date, each share of Raytheon Common Stock held by the reporting person was converted automatically into 2.3348 shares of UTC Common Stock. Time-based RTX restricted stock units ("RSUs") that represent the right to receive one share of RTX Common Stock per unit and were converted from Raytheon RSUs, originally granted on March 21, 2018, pursuant to the terms of the Merger Agreement. These RSUs vest in one-third increments on each of the second, third and fourth anniversaries of the original date of grant, as applicable, and continue to vest (but do not accelerate) on the scheduled vesting dates into retirement, subject to the employee's compliance with certain post-employment covenants. Time-based RTX RSUs that represent the right to receive one share of RTX Common Stock per unit and were converted from Raytheon RSUs, originally granted on March 21, 2019, pursuant to the terms of the Merger Agreement. These RSUs vest in one-third increments on each of the second, third and fourth anniversaries of the original date of grant, as applicable, and continue to vest (but do not accelerate) on the scheduled vesting dates into retirement, subject to the employee's compliance with certain post-employment covenants. Time-based RTX RSUs that represent the right to receive one share of RTX Common Stock per unit and were converted from Raytheon RSUs, originally granted on March 25, 2020, pursuant to the terms of the Merger Agreement. These RSUs vest in one-third increments on each of the second, third and fourth anniversaries of the original date of grant, as applicable, and continue to vest (but do not accelerate) on the scheduled vesting dates into retirement, subject to the employee's compliance with certain post-employment covenants. Represents RTX RSUs that were converted from Raytheon performance-based vesting restricted stock units granted on January 24, 2018 under the 2018-2020 Long-Term Performance Plan ("LTPP"). These RSUs will vest in full at the end of the original LTPP 3-year performance cycle. Represents RTX RSUs that were converted from Raytheon performance-based vesting restricted stock units granted on January 30, 2019 under the 2019-2021 LTPP. These RSUs will vest in full at the end of the original LTPP 3-year performance cycle. Represents RTX RSUs that were converted from Raytheon performance-based vesting restricted stock units granted on January 29, 2020 under the 2020-2022 LTPP. These RSUs will vest in full at the end of the original LTPP 3-year performance cycle. /s/ Dana Ng, Attorney-in-fact 2020-04-08