Statement of Changes in Beneficial Ownership (4)
May 14 2020 - 05:30PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5
obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL
OWNERSHIP OF SECURITIES
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OMB
APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response... 0.5 |
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Filed pursuant to Section 16(a) of the
Securities Exchange Act of 1934 or Section 30(h) of the Investment
Company Act of 1940
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1. Name
and Address of Reporting Person * Paliwal Dinesh C |
2. Issuer Name and Ticker or Trading
Symbol RAYTHEON TECHNOLOGIES CORP [ RTX ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)__X__
Director _____
10% Owner
_____ Officer (give title
below) _____ Other
(specify below)
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(Last)
(First)
(Middle)
5454 W 110TH STREET |
3. Date of Earliest Transaction (MM/DD/YYYY)
5/12/2020
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(Street)
OVERLAND PARK, KS 66211
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line) _X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
|
1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following
Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
Amount |
(A) or (D) |
Price |
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
|
1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative
Security |
3. Trans. Date |
3A. Deemed Execution Date, if any |
4. Trans. Code
(Instr. 8) |
5. Number of Derivative Securities Acquired (A) or
Disposed of (D)
(Instr. 3, 4 and 5) |
6. Date Exercisable and Expiration Date |
7. Title and Amount of Securities Underlying
Derivative Security
(Instr. 3 and 4) |
8. Price of Derivative Security
(Instr. 5) |
9. Number of derivative Securities Beneficially
Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct
(D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Phantom Stock Unit |
(1) |
5/12/2020 |
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A |
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5612.4174 |
|
(1) |
(1) |
Common Stock |
5612.4174 |
$65.0700 |
5612.4174 |
D |
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Explanation of
Responses: |
(1) |
The reporting person
acquired these stock units under the Raytheon Technologies
Corporation Board of Directors Deferred Stock Unit Plan (the
"Plan") in connection with the reporting person's annual
compensation for service as a non-employee director. The Plan
provides for payment of a portion or all of the annual compensation
in deferred stock units. Upon retirement or termination, the
deferred stock units in the director's account under the Plan are
converted into an equal number of shares of common stock that, at
the director's previous election, are distributed either in a
lump-sum or in installments. |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
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Director |
10% Owner |
Officer |
Other |
Paliwal Dinesh C
5454 W 110TH STREET
OVERLAND PARK, KS 66211 |
X |
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Signatures
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/s/ Dana Ng as Attorney-In-Fact |
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5/14/2020 |
**Signature of Reporting
Person |
Date |