RTX CORPORATION Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 34 rows in 2012. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2012-12-06: Reporting owner MCCORMICK RICHARD D; Form 4; Security Non-Qualified Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2012-12-06: Reporting owner MCCORMICK RICHARD D; Form 4; Security Non-Qualified Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2012-12-06: Reporting owner MCCORMICK RICHARD D; Form 4; Security Non-Qualified Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2012-12-06: Reporting owner MCCORMICK RICHARD D; Form 4; Security Non-Qualified Stock Option (right to buy); 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 |
|---|---|---|---|---|---|---|---|---|
| 2012-12-06 | MCCORMICK RICHARD D Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,036 4,964 owned after | $30.53 exercise price | $50.89 | 2012-12-07 |
| 2012-12-06 | MCCORMICK RICHARD D Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,964 0 owned after | $30.53 exercise price | $50.89 | 2012-12-07 |
| 2012-12-06 | MCCORMICK RICHARD D Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,235 3,765 owned after | $50.53 exercise price | $50.89 | 2012-12-07 |
| 2012-12-06 | MCCORMICK RICHARD D Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,765 0 owned after | $50.53 exercise price | $50.89 | 2012-12-07 |
| 2012-12-06 | MCCORMICK RICHARD D Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,167 3,833 owned after | $44.09 exercise price | $50.89 | 2012-12-07 |
| 2012-12-06 | MCCORMICK RICHARD D Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,833 0 owned after | $44.09 exercise price | $50.89 | 2012-12-07 |
| 2012-11-30 | CHENEVERT LOUIS Director, Officer (Chairman & CEO) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −42,500 0 owned after | $31.71 exercise price | $50.42 | 2012-12-03 |
| 2012-11-30 | LONGO PETER F. Officer (Vice President, Controller) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 0 owned after | $31.71 exercise price | $50.42 | 2012-11-30 |
| 2012-11-29 | CHENEVERT LOUIS Director, Officer (Chairman & CEO) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −42,500 42,500 owned after | $31.71 exercise price | $50.20 | 2012-12-03 |
| 2012-11-01 | ROGAN THOMAS I Officer (Vice President, Treasurer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −16,700 0 owned after | $31.71 exercise price | $49.75 | 2012-11-05 |
| 2012-10-31 | GORELICK JAMIE S Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,000 0 owned after | $30.53 exercise price | $49.19 | 2012-11-01 |
| 2012-09-14 | Amato Elizabeth B Officer (SVP, Human Resources & Org.) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 0 owned after | $31.71 exercise price | $51.89 | 2012-09-18 |
| 2012-09-14 | CHENEVERT LOUIS Director, Officer (Chairman & CEO) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −85,000 85,000 owned after | $31.71 exercise price | $51.89 | 2012-09-18 |
| 2012-09-14 | Bowler J Thomas JR Officer (SVP, Human Resources and Org.) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −50,800 0 owned after | $31.71 exercise price | $51.89 | 2012-09-18 |
| 2012-09-12 | VILLENEUVE ANDRE F H Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,000 0 owned after | $30.53 exercise price | $49.61 | 2012-09-14 |
| 2012-09-12 | VILLENEUVE ANDRE F H Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,000 0 owned after | $44.09 exercise price | $49.61 | 2012-09-14 |
| 2012-08-17 | LONGO PETER F. Officer (Vice President, Controller) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,800 5,000 owned after | $31.71 exercise price | $50.58 | 2012-08-21 |
| 2012-08-09 holding as of filing | Amato Elizabeth B Officer (SVP, Human Resources & Org.) | 3 | Non-Qualified Stock Option (right to buy) Derivative · Direct | Holding | $31.71 exercise price | 2012-08-09 | ||
| 2012-08-09 holding as of filing | Amato Elizabeth B Officer (SVP, Human Resources & Org.) | 3 | Non-Qualified Stock Option (right to buy) Derivative · Direct | Holding | $46.76 exercise price | 2012-08-09 | ||
| 2012-08-09 holding as of filing | Amato Elizabeth B Officer (SVP, Human Resources & Org.) | 3 | Non-Qualified Stock Option (right to buy) Derivative · Direct | Holding | $51.50 exercise price | 2012-08-09 | ||
| 2012-08-07 | Amato Elizabeth B Officer (SVP, Human Resources & Org.) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 10,000 owned after | $31.71 exercise price | $49.16 | 2012-08-09 |
| 2012-05-17 holding as of filing | Maurer Michael B Officer (President, Sikorsky Aircraft) | 3 | Non-Qualified Stock Option (right to buy) Derivative · Direct | Holding | $46.76 exercise price | 2012-05-17 | ||
| 2012-05-17 holding as of filing | Maurer Michael B Officer (President, Sikorsky Aircraft) | 3 | Non-Qualified Stock Option (right to buy) Derivative · Direct | Holding | $51.50 exercise price | 2012-05-17 | ||
| 2012-05-04 | ROGAN THOMAS I Officer (Vice President, Treasurer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −16,700 16,700 owned after | $31.71 exercise price | $50.02 | 2012-05-08 |
| 2012-03-28 | Baranda Riva, Pedro Sainz De Officer (President, Otis Elevator) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,500 0 owned after | $31.71 exercise price | $51.30 | 2012-03-28 |
| 2012-02-27 holding as of filing | Baranda Riva, Pedro Sainz De Officer (President, Otis Elevator) | 3/A | Non-Qualified Stock Option (right to buy) Derivative · Direct | Holding | $31.71 exercise price | 2012-02-27 | ||
| 2012-02-27 holding as of filing | Baranda Riva, Pedro Sainz De Officer (President, Otis Elevator) | 3/A | Non-Qualified Stock Option (right to buy) Derivative · Direct | Holding | $46.76 exercise price | 2012-02-27 | ||
| 2012-02-27 holding as of filing | Baranda Riva, Pedro Sainz De Officer (President, Otis Elevator) | 3/A | Non-Qualified Stock Option (right to buy) Derivative · Direct | Holding | $51.50 exercise price | 2012-02-27 | ||
| 2012-02-22 | LONGO PETER F. Officer (Vice President, Controller) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 15,800 owned after | $31.71 exercise price | $52.83 | 2012-02-24 |
| 2012-02-22 holding as of filing | Baranda Riva, Pedro Sainz De Officer (President, Otis Elevator) | 3 | Non-Qualified Stock Option (right to buy) Derivative · Direct | Holding | $31.71 exercise price | 2012-02-22 | ||
| 2012-02-22 holding as of filing | Baranda Riva, Pedro Sainz De Officer (President, Otis Elevator) | 3 | Non-Qualified Stock Option (right to buy) Derivative · Direct | Holding | $46.76 exercise price | 2012-02-22 | ||
| 2012-02-22 holding as of filing | Baranda Riva, Pedro Sainz De Officer (President, Otis Elevator) | 3 | Non-Qualified Stock Option (right to buy) Derivative · Direct | Holding | $51.50 exercise price | 2012-02-22 | ||
| 2012-02-14 | Dumais Michael R Officer (President, Hamilton Sundstrand) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −18,000 0 owned after | $46.76 exercise price | $53.27 | 2012-02-16 |
| 2012-02-03 | DARNIS GERAUD Officer (Pres. & CEO, UTC Climate, Cont) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −30,000 0 owned after | $31.71 exercise price | $51.01 | 2012-02-07 |
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