RTX CORPORATION Forms 3, 4 and 5: Other
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 43 rows in 2020. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2020-10-23: Reporting owner Williams Dantaya M; Form 3/A; Security Stock Appreciation Right; Transaction Holding.
- 2020-10-23: Reporting owner Williams Dantaya M; Form 3/A; Security Stock Appreciation Right; Transaction Holding.
- 2020-10-23: Reporting owner Williams Dantaya M; Form 3/A; Security Stock Appreciation Right; Transaction Holding.
- 2020-10-23: Reporting owner Williams Dantaya M; Form 3/A; Security Stock Appreciation Right; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2020-10-23 holding as of filing | Williams Dantaya M Officer (Chief Human Resources Officer) | 3/A | Stock Appreciation Right Derivative · Direct | Holding | $62.41 exercise price | 2020-10-23 | ||
| 2020-10-23 holding as of filing | Williams Dantaya M Officer (Chief Human Resources Officer) | 3/A | Stock Appreciation Right Derivative · Direct | Holding | $71.01 exercise price | 2020-10-23 | ||
| 2020-10-23 holding as of filing | Williams Dantaya M Officer (Chief Human Resources Officer) | 3/A | Stock Appreciation Right Derivative · Direct | Holding | $71.62 exercise price | 2020-10-23 | ||
| 2020-10-23 holding as of filing | Williams Dantaya M Officer (Chief Human Resources Officer) | 3/A | Stock Appreciation Right Derivative · Direct | Holding | $76.00 exercise price | 2020-10-23 | ||
| 2020-10-23 holding as of filing | Williams Dantaya M Officer (Chief Human Resources Officer) | 3/A | Stock Appreciation Right Derivative · Direct | Holding | $82.35 exercise price | 2020-10-23 | ||
| 2020-10-23 holding as of filing | Williams Dantaya M Officer (Chief Human Resources Officer) | 3/A | Stock Appreciation Right Derivative · Direct | Holding | $83.58 exercise price | 2020-10-23 | ||
| 2020-10-23 holding as of filing | Williams Dantaya M Officer (Chief Human Resources Officer) | 3/A | Stock Appreciation Right Derivative · Direct | Holding | $85.47 exercise price | 2020-10-23 | ||
| 2020-10-23 holding as of filing | Williams Dantaya M Officer (Chief Human Resources Officer) | 3/A | Stock Appreciation Right Derivative · Direct | Holding | $90.73 exercise price | 2020-10-23 | ||
| 2020-06-15 holding as of filing | Williams Dantaya M Officer (Chief Human Resources Officer) | 3 | Stock Appreciation Right Derivative · Direct | Holding | $84.00 exercise price | 2020-06-15 | ||
| 2020-06-15 holding as of filing | Williams Dantaya M Officer (Chief Human Resources Officer) | 3 | Stock Appreciation Right Derivative · Direct | Holding | $95.57 exercise price | 2020-06-15 | ||
| 2020-06-15 holding as of filing | Williams Dantaya M Officer (Chief Human Resources Officer) | 3 | Stock Appreciation Right Derivative · Direct | Holding | $110.83 exercise price | 2020-06-15 | ||
| 2020-06-15 holding as of filing | Williams Dantaya M Officer (Chief Human Resources Officer) | 3 | Stock Appreciation Right Derivative · Direct | Holding | $112.49 exercise price | 2020-06-15 | ||
| 2020-06-15 holding as of filing | Williams Dantaya M Officer (Chief Human Resources Officer) | 3 | Stock Appreciation Right Derivative · Direct | Holding | $115.04 exercise price | 2020-06-15 | ||
| 2020-06-15 holding as of filing | Williams Dantaya M Officer (Chief Human Resources Officer) | 3 | Stock Appreciation Right Derivative · Direct | Holding | $120.77 exercise price | 2020-06-15 | ||
| 2020-06-15 holding as of filing | Williams Dantaya M Officer (Chief Human Resources Officer) | 3 | Stock Appreciation Right Derivative · Direct | Holding | $128.16 exercise price | 2020-06-15 | ||
| 2020-06-15 holding as of filing | Williams Dantaya M Officer (Chief Human Resources Officer) | 3 | Stock Appreciation Right Derivative · Direct | Holding | $153.00 exercise price | 2020-06-15 | ||
| 2020-04-13 holding as of filing | Balsbough Douglas Officer (EVP & Chief HR Officer) | 3 | Stock Appreciation Right Derivative · Direct | Holding | $84.00 exercise price | 2020-04-13 | ||
| 2020-04-13 holding as of filing | Balsbough Douglas Officer (EVP & Chief HR Officer) | 3 | Stock Appreciation Right Derivative · Direct | Holding | $95.57 exercise price | 2020-04-13 | ||
| 2020-04-13 holding as of filing | Balsbough Douglas Officer (EVP & Chief HR Officer) | 3 | Stock Appreciation Right Derivative · Direct | Holding | $110.83 exercise price | 2020-04-13 | ||
| 2020-04-13 holding as of filing | Balsbough Douglas Officer (EVP & Chief HR Officer) | 3 | Stock Appreciation Right Derivative · Direct | Holding | $112.49 exercise price | 2020-04-13 | ||
| 2020-04-13 holding as of filing | Balsbough Douglas Officer (EVP & Chief HR Officer) | 3 | Stock Appreciation Right Derivative · Direct | Holding | $115.04 exercise price | 2020-04-13 | ||
| 2020-04-13 holding as of filing | Balsbough Douglas Officer (EVP & Chief HR Officer) | 3 | Stock Appreciation Right Derivative · Direct | Holding | $120.77 exercise price | 2020-04-13 | ||
| 2020-04-13 holding as of filing | Balsbough Douglas Officer (EVP & Chief HR Officer) | 3 | Stock Appreciation Right Derivative · Direct | Holding | $128.16 exercise price | 2020-04-13 | ||
| 2020-04-13 holding as of filing | Balsbough Douglas Officer (EVP & Chief HR Officer) | 3 | Stock Appreciation Right Derivative · Direct | Holding | $153.00 exercise price | 2020-04-13 | ||
| 2020-04-01 holding as of filing | Timm Stephen J. Officer (President, Collins Aerospace) | 3/A | Stock Appreciation Right Derivative · Direct | Holding | $153.00 exercise price | 2020-04-01 | ||
| 2020-02-14 | Dumais Michael R Officer (EVP, Operations & Strategy) | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +59,000 59,000 owned after | $153.46 | $96.58 | 2020-02-18 |
| 2020-02-14 holding as of filing | Timm Stephen J. Officer (President, Collins Aerospace) | 3 | Rockwell NQSP Derivative · Direct | Holding | no price filed | 2020-02-14 | ||
| 2020-02-14 holding as of filing | Timm Stephen J. Officer (President, Collins Aerospace) | 3 | Stock Appreciation Right Derivative · Direct | Holding | $120.77 exercise price | 2020-02-14 | ||
| 2020-02-14 holding as of filing | Timm Stephen J. Officer (President, Collins Aerospace) | 3 | Stock Appreciation Right Derivative · Direct | Holding | $131.96 exercise price | 2020-02-14 | ||
| 2020-02-12 | Gitlin David L. Officer (President & CEO, Carrier) | 4 | Stock Appreciation Right Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −18,900 0 owned after | $84.00 exercise price | $97.66 | 2020-02-14 |
| 2020-02-12 | Gitlin David L. Officer (President & CEO, Carrier) | 4 | Stock Appreciation Right Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −24,500 0 owned after | $112.49 exercise price | $97.66 | 2020-02-14 |
| 2020-02-12 | Gitlin David L. Officer (President & CEO, Carrier) | 4 | Stock Appreciation Right Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,569 0 owned after | $74.79 exercise price | $97.66 | 2020-02-14 |
| 2020-02-12 | Gitlin David L. Officer (President & CEO, Carrier) | 4 | Stock Appreciation Right Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −37,467 0 owned after | $74.79 exercise price | $97.66 | 2020-02-14 |
| 2020-02-12 | HAYES GREGORY Director, Officer (Chairman, President and CEO) | 4 | Stock Appreciation Right Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −107,000 0 owned after | $84.00 exercise price | $97.66 | 2020-02-14 |
| 2020-02-12 | Dumais Michael R Officer (EVP, Operations & Strategy) | 4 | Stock Appreciation Right Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −19,956 0 owned after | $74.79 exercise price | $97.66 | 2020-02-14 |
| 2020-02-04 | HAYES GREGORY Director, Officer (Chairman, President and CEO) | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +255,000 255,000 owned after | $153.00 | $96.29 | 2020-02-06 |
| 2020-02-04 | Calio Christopher T. Officer (President, P&W) | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +54,500 54,500 owned after | $153.00 | $96.29 | 2020-02-06 |
| 2020-02-04 | Gitlin David L. Officer (President & CEO, Carrier) | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +91,000 91,000 owned after | $153.00 | $96.29 | 2020-02-06 |
| 2020-02-04 | Marks Judith Fran Officer (President & CEO, Otis) | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +91,000 91,000 owned after | $153.00 | $96.29 | 2020-02-06 |
| 2020-02-04 | Ortberg Robert Kelly Officer (CEO, Collins Aerospace Systems) | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +109,000 109,000 owned after | $153.00 | $96.29 | 2020-02-06 |
| 2020-02-04 | Mitchill Neil G. JR Officer (Acting Sr. VP & CFO) | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +31,000 31,000 owned after | $153.00 | $96.29 | 2020-02-06 |
| 2020-02-04 | Bailey Robert J. Officer (Corporate VP, Controller) | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +11,300 11,300 owned after | $153.00 | $96.29 | 2020-02-06 |
| 2020-02-04 | Whitehouse David R Officer (Corp VP, Treasurer) | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +13,700 13,700 owned after | $153.00 | $96.29 | 2020-02-06 |
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