0001225208-21-008457.txt : 20210524 0001225208-21-008457.hdr.sgml : 20210524 20210524170434 ACCESSION NUMBER: 0001225208-21-008457 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210520 FILED AS OF DATE: 20210524 DATE AS OF CHANGE: 20210524 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Dumais Michael R CENTRAL INDEX KEY: 0001531769 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00812 FILM NUMBER: 21955902 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: 781-522-3000 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 doc4.xml X0306 4 2021-05-20 0000101829 RAYTHEON TECHNOLOGIES CORP RTX 0001531769 Dumais Michael R 870 WINTER STREET WALTHAM MA 02451 1 EVP,Chf Transformation Officer Common Stock 2021-05-20 4 M 0 18000.0000 62.4100 A 74374.0000 D Common Stock 2021-05-20 4 S 0 4722.0000 84.6370 D 69652.0000 D Common Stock 2021-05-20 4 D 0 13278.0000 84.6000 D 56374.0000 D Common Stock 2021-05-24 4 M 0 16476.0000 62.4100 A 72850.0000 D Common Stock 2021-05-24 4 S 0 4552.0000 86.2702 D 68298.0000 D Common Stock 2021-05-24 4 D 0 11924.0000 86.2300 D 56374.0000 D Common Stock 1851.0000 I By Savings Plan Trustee Stock Appreciation Right 62.4100 2021-05-20 4 M 0 18000.0000 0.0000 D 2016-01-02 2023-01-01 Common Stock 18000.0000 16476.0000 D Stock Appreciation Right 62.4100 2021-05-24 4 M 0 16476.0000 0.0000 D 2016-01-02 2023-01-01 Common Stock 16476.0000 0.0000 D The Stock Appreciation Rights (SARs) were settled in shares in accordance with the terms of the award. For Section 16 reporting purposes, the exercise of SARs for stock is treated as an exempt acquisition of the shares underlying the SARs at the exercise price per share specified in the award of SARs and a simultaneous sale back to the issuer of a number of the underlying shares having a value, based on the market price of the issuer's stock on the date of the exercise, equal to the product of the number of underlying SARs times the exercise price per share. This Form 4 reflects the number of RTX shares underlying, and the applicable exercise price, of this SARs award after giving effect to the separation of Otis Worldwide Corporation and Carrier Global Corporation from United Technologies Corporation (UTC) on April 3, 2020 (after which UTC completed its merger of equals with Raytheon Company to form RTX). The reported price is based on a weighted average of multiple same-day transactions with prices ranging from $84.635 to $84.637 per share. Full information regarding the number of shares sold at each separate price is available to the Securities and Exchange Commission, the Issuer or any security holder of the Issuer upon request. The reported price is based on a weighted average of multiple same-day transactions with prices ranging from $86.2701 to $86.2800 per share. Full information regarding the number of shares sold at each separate price is available to the Securities and Exchange Commission, the Issuer or any security holder of the Issuer upon request. /s/ Dana Ng as Attorney-In-Fact 2021-05-24