Statement of Changes in Beneficial Ownership (4)
January 05 2021 - 5:05PM
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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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
*
Williams Dantaya M |
2. Issuer Name and Ticker or Trading Symbol
RAYTHEON TECHNOLOGIES CORP
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RTX
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) EVP & Chief HR Officer |
(Last)
(First)
(Middle)
870 WINTER STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
1/2/2021 |
(Street)
WALTHAM, MA 02451
(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
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 1/2/2021 | | M | | 2122.0000 | A | $0 (1) | 5850.7544 | D | |
Common Stock | 1/2/2021 | | M | | 883.0000 (2) | A | $0 (1) | 6733.7544 | D | |
Common Stock | 1/4/2021 | | F | | 135.0000 | D | $68.4300 | 6598.7544 | D | |
Common Stock | 1/4/2021 | | F | | 776.0000 | D | $68.4300 | 5822.7544 (3) | D | |
Common Stock | | | | | | | | 2818.0000 | I | By Savings Plan Trustee |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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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 |
Restricted Stock Units | (1) | 1/2/2021 | | M | | | 883.0000 | (4) | (4) | Common Stock | 883.0000 | $0.0000 | 22217.0000 | D | |
Restricted Stock Units | (1) | 1/2/2021 | | M | | | 2122.0000 | (5) | (5) | Common Stock | 2122.0000 | $0.0000 | 20095.0000 | D | |
Explanation of Responses: |
(1) | Time-based restricted stock units (RSUs) that represent the right to receive one share of the Issuer's Common Stock per unit. |
(2) | Includes 441 shares of common stock that otherwise would be received upon the vesting of these RSUs for which the reporting person previously elected to defer receipt. The reporting person instead acquired 441 deferred stock units that settle exclusively in shares and are included in this Table I as common stock equivalents. |
(3) | Includes 2,444.7544 deferred Performance Share Units (PSUs), including the 441 deferred units reported in the footnote above. The reporting person previously elected to defer receipt of actual shares of common stock that otherwise would be received upon the vesting of these PSUs and instead acquired deferred stock units that settle exclusively in shares and are included in Table I as common stock equivalents. Each deferred stock unit has a value equal to one share of RTX common stock. |
(4) | Vesting of RSUs and delivery of shares with respect to RSUs that were converted from PSUs originally awarded on January 2, 2018 under the legacy United Technologies Long-Term Incentive Plan (LTIP). Each RSU represents the right to receive one share of RTX Common Stock. The reporting person previously elected to defer receipt of 441 shares of common stock that otherwise would be received upon the vesting of these RSUs and instead acquired 441 deferred stock units that settle exclusively in shares and are included in Table I as common stock equivalents. Each deferred stock unit has a value equal to one share of RTX Common Stock. |
(5) | Vesting of RSUs and delivery of shares with respect to the RSUs originally awarded on January 2, 2018. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Williams Dantaya M 870 WINTER STREET WALTHAM, MA 02451 |
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| EVP & Chief HR Officer |
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Signatures
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/s/ Dana Ng as Attorney-In-Fact | | 1/5/2021 |
**Signature of Reporting Person | Date |
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