RTX CORPORATION Forms 3, 4 and 5: Other
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 25 rows in 2022. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2022-12-02: Reporting owner HAYES GREGORY; Form 4; Security Stock Appreciation Right; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2022-11-03: Reporting owner Eddy Shane G; Form 4; Security Stock Appreciation Right; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2022-10-31: Reporting owner Calio Christopher T.; Form 4; Security Stock Appreciation Right; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2022-10-27: Reporting owner Williams Dantaya M; Form 4; Security Stock Appreciation Right; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2022-12-02 | HAYES GREGORY Director, Officer (Chairman and CEO) | 4 | Stock Appreciation Right Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −60,865 0 owned after | $83.58 exercise price | $101.01 | 2022-12-06 |
| 2022-11-03 | Eddy Shane G Officer (President, P&W) | 4 | Stock Appreciation Right Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,725 0 owned after | $83.58 exercise price | $94.80 | 2022-11-08 |
| 2022-10-31 | Calio Christopher T. Officer (Chief Operating Officer) | 4 | Stock Appreciation Right Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,022 0 owned after | $62.41 exercise price | $94.82 | 2022-11-02 |
| 2022-10-27 | Williams Dantaya M Officer (EVP & Chief HR Officer) | 4 | Stock Appreciation Right Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,745 0 owned after | $62.41 | $91.80 | 2022-10-31 |
| 2022-03-09 holding as of filing | Eddy Shane G Officer (President, P&W) | 3 | Stock Appreciation Right Derivative · Direct | Holding | $71.62 exercise price | 2022-03-09 | ||
| 2022-03-09 holding as of filing | Eddy Shane G Officer (President, P&W) | 3 | Stock Appreciation Right Derivative · Direct | Holding | $72.49 exercise price | 2022-03-09 | ||
| 2022-03-09 holding as of filing | Eddy Shane G Officer (President, P&W) | 3 | Stock Appreciation Right Derivative · Direct | Holding | $75.79 exercise price | 2022-03-09 | ||
| 2022-03-09 holding as of filing | Eddy Shane G Officer (President, P&W) | 3 | Stock Appreciation Right Derivative · Direct | Holding | $76.00 exercise price | 2022-03-09 | ||
| 2022-03-09 holding as of filing | Eddy Shane G Officer (President, P&W) | 3 | Stock Appreciation Right Derivative · Direct | Holding | $82.35 exercise price | 2022-03-09 | ||
| 2022-03-09 holding as of filing | Eddy Shane G Officer (President, P&W) | 3 | Stock Appreciation Right Derivative · Direct | Holding | $83.58 exercise price | 2022-03-09 | ||
| 2022-03-09 holding as of filing | Eddy Shane G Officer (President, P&W) | 3 | Stock Appreciation Right Derivative · Direct | Holding | $85.47 exercise price | 2022-03-09 | ||
| 2022-03-09 holding as of filing | Eddy Shane G Officer (President, P&W) | 3 | Stock Appreciation Right Derivative · Direct | Holding | $90.73 exercise price | 2022-03-09 | ||
| 2022-03-09 holding as of filing | Eddy Shane G Officer (President, P&W) | 3 | Stock Appreciation Right Derivative · Direct | Holding | $94.04 exercise price | 2022-03-09 | ||
| 2022-02-28 | Dumais Michael R Officer (EVP,Chf Transformation Officer) | 4 | Stock Appreciation Right Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −13,814 0 owned after | $83.58 exercise price | $102.70 | 2022-03-01 |
| 2022-02-25 | Dumais Michael R Officer (EVP,Chf Transformation Officer) | 4 | Stock Appreciation Right Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −13,000 13,814 owned after | $83.58 exercise price | $98.12 | 2022-03-01 |
| 2022-02-15 | Mitchill Neil G. JR Officer (EVP, Chief Financial Officer) | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +77,400 77,400 owned after | $94.04 | $94.04 | 2022-02-17 |
| 2022-02-15 | Williams Dantaya M Officer (EVP & Chief HR Officer) | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +48,400 48,400 owned after | $94.04 | $94.04 | 2022-02-17 |
| 2022-02-15 | Maharajh Ramsaran Officer (EVP and General Counsel) | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +53,200 53,200 owned after | $94.04 | $94.04 | 2022-02-17 |
| 2022-02-15 | Timm Stephen J. Officer (President, Collins Aerospace) | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +96,700 96,700 owned after | $94.04 | $94.04 | 2022-02-17 |
| 2022-02-15 | Johnson Amy L Officer (Corporate VP and Controller) | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,800 5,800 owned after | $94.04 | $94.04 | 2022-02-17 |
| 2022-02-15 | Kremer Wesley D Officer (President, RMD) | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +96,700 96,700 owned after | $94.04 | $94.04 | 2022-02-17 |
| 2022-02-15 | HAYES GREGORY Director, Officer (Chairman and CEO) | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +294,900 294,900 owned after | $94.04 | $94.04 | 2022-02-17 |
| 2022-02-15 | DaSilva Kevin G Officer (Corporate VP and Treasurer) | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,800 5,800 owned after | $94.04 | $94.04 | 2022-02-17 |
| 2022-02-15 | 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) | +135,400 135,400 owned after | $94.04 | $94.04 | 2022-02-17 |
| 2022-02-15 | Azevedo Roy Officer (President, RIS) | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +96,700 96,700 owned after | $94.04 | $94.04 | 2022-02-17 |
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