RTX

SEC source: 0001225208-21-005813 · doc4.xml · nonDerivative · entry 2

Kennedy Thomas A · CIK 0001495635 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 455,735

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Time-based restricted stock units (RSUs) that represent the right to receive one share of the Issuer's Common Stock per unit.

SEC source: 0001225208-21-005813 · doc4.xml · derivative · entry 5

Kennedy Thomas A · CIK 0001495635 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 317,360

Underlying: Common Stock · 17,420 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Time-based restricted stock units (RSUs) that represent the right to receive one share of the Issuer's Common Stock per unit.

F2 · derivative.exercise_date: Vesting of RSUs and delivery of shares with respect to the RSUs that were converted from Raytheon Company RSUs originally awarded on March 20, 2019.

F2 · derivative.expiration_date: Vesting of RSUs and delivery of shares with respect to the RSUs that were converted from Raytheon Company RSUs originally awarded on March 20, 2019.

SEC source: 0001225208-21-005813 · doc4.xml · nonDerivative · entry 1

Kennedy Thomas A · CIK 0001495635 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 439,644

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Time-based restricted stock units (RSUs) that represent the right to receive one share of the Issuer's Common Stock per unit.

SEC source: 0001225208-21-005753 · doc4.xml · nonDerivative · entry 1

Calio Christopher T. · CIK 0001781357 · President, P&W

10b5-1 filing: Not disclosed

Ownership: Indirect · By Savings Plan Trustee

Disclosed balance after: 3,636

SEC source: 0001225208-21-005755 · doc4.xml · nonDerivative · entry 1

HAYES GREGORY · CIK 0001225946 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse's Savings Plan Account

Disclosed balance after: 2,669

SEC source: 0001225208-21-005754 · doc4.xml · nonDerivative · entry 1

Williams Dantaya M · CIK 0001815109 · EVP & Chief HR Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Savings Plan Trustee

Disclosed balance after: 5,723

SEC source: 0001225208-21-004861 · doc4.xml · nonDerivative · entry 1

Timm Stephen J. · CIK 0001803488 · President, Collins Aerospace

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse's Savings Plan Account

Disclosed balance after: 0

SEC source: 0001225208-21-002070 · doc4.xml · derivative · entry 2

HAYES GREGORY · CIK 0001225946 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 181,900

Underlying: Common Stock · 181,900 shares

Expires 2031-02-07

F2 · balance_after: This number reflects only stock appreciation rights (SARs) with these specific grant details and does not include other SARs. In addition to the SARs and not included in this number, the reporting person was also awarded 120,020 performance share units (PSUs) under the RTX Long-Term Incentive Plan. Each PSU has a value equal to one share of RTX Common Stock. These PSUs vest solely upon achievement of pre-established performance goals for RTX's return on invested capital (ROIC), earnings per share (EPS) growth and total shareholder return (TSR) relative to the S&P 500 and aerospace & defense peer companies. The performance period for EPS growth and ROIC is one-year, followed by a two-year holding period. Both TSR goals have a three-year performance period.

SEC source: 0001225208-21-002070 · doc4.xml · derivative · entry 1

HAYES GREGORY · CIK 0001225946 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 234,098

Underlying: Common Stock · 40,010 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of RTX Common Stock. These RSUs vest on the third anniversary of the date of grant.

F1 · derivative.exercise_date: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of RTX Common Stock. These RSUs vest on the third anniversary of the date of grant.

F1 · derivative.expiration_date: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of RTX Common Stock. These RSUs vest on the third anniversary of the date of grant.

SEC source: 0001225208-21-002071 · doc4.xml · derivative · entry 2

Kennedy Thomas A · CIK 0001495635 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 131,700

Underlying: Common Stock · 131,700 shares

Expires 2031-02-07

F2 · balance_after: In addition to the stock appreciation rights (SARs) and not included in this number, the reporting person was also awarded 86,910 performance share units (PSUs) under the RTX Long-Term Incentive Plan. Each PSU has a value equal to one share of RTX Common Stock. These PSUs vest solely upon achievement of pre-established performance goals for RTX's return on invested capital (ROIC), earnings per share (EPS) growth and total shareholder return (TSR) relative to the S&P 500 and aerospace & defense peer companies. The performance period for EPS growth and ROIC is one-year, followed by a two-year holding period. Both TSR goals have a three-year performance period.

SEC source: 0001225208-21-002071 · doc4.xml · derivative · entry 1

Kennedy Thomas A · CIK 0001495635 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 334,780

Underlying: Common Stock · 28,970 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of RTX Common Stock. These RSUs vest on the third anniversary of the date of grant.

F1 · derivative.exercise_date: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of RTX Common Stock. These RSUs vest on the third anniversary of the date of grant.

F1 · derivative.expiration_date: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of RTX Common Stock. These RSUs vest on the third anniversary of the date of grant.

SEC source: 0001225208-21-002072 · doc4.xml · derivative · entry 2

Azevedo Roy · CIK 0001752295 · President, RIS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,900

Underlying: Common Stock · 43,900 shares

Expires 2031-02-07

F2 · balance_after: In addition to the stock appreciation rights (SARs) and not included in this number, the reporting person was also awarded 28,970 performance share units (PSUs) under the RTX Long-Term Incentive Plan. Each PSU has a value equal to one share of RTX Common Stock. These PSUs vest solely upon achievement of pre-established performance goals for RTX's return on invested capital (ROIC), earnings per share (EPS) growth and total shareholder return (TSR) relative to the S&P 500 and aerospace & defense peer companies. The performance period for EPS growth and ROIC is one-year, followed by a two-year holding period. Both TSR goals have a three-year performance period.

SEC source: 0001225208-21-002072 · doc4.xml · derivative · entry 1

Azevedo Roy · CIK 0001752295 · President, RIS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,399

Underlying: Common Stock · 9,660 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of RTX Common Stock. These RSUs vest on the third anniversary of the date of grant.

F1 · derivative.exercise_date: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of RTX Common Stock. These RSUs vest on the third anniversary of the date of grant.

F1 · derivative.expiration_date: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of RTX Common Stock. These RSUs vest on the third anniversary of the date of grant.

SEC source: 0001225208-21-002073 · doc4.xml · derivative · entry 2

Calio Christopher T. · CIK 0001781357 · President, P&W

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,900

Underlying: Common Stock · 43,900 shares

Expires 2031-02-07

F2 · balance_after: This number reflects only stock appreciation rights (SARs) with these specific grant details and does not include other SARs. In addition to the SARs and not included in this number, the reporting person was also awarded 28,970 performance share units (PSUs) under the RTX Long-Term Incentive Plan. Each PSU has a value equal to one share of RTX Common Stock. These PSUs vest solely upon achievement of pre-established performance goals for RTX's return on invested capital (ROIC), earnings per share (EPS) growth and total shareholder return (TSR) relative to the S&P 500 and aerospace & defense peer companies. The performance period for EPS growth and ROIC is one-year, followed by a two-year holding period. Both TSR goals have a three-year performance period.

SEC source: 0001225208-21-002073 · doc4.xml · derivative · entry 1

Calio Christopher T. · CIK 0001781357 · President, P&W

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,875

Underlying: Common Stock · 9,660 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of RTX Common Stock. These RSUs vest on the third anniversary of the date of grant.

F1 · derivative.exercise_date: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of RTX Common Stock. These RSUs vest on the third anniversary of the date of grant.

F1 · derivative.expiration_date: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of RTX Common Stock. These RSUs vest on the third anniversary of the date of grant.

SEC source: 0001225208-21-002074 · doc4.xml · derivative · entry 2

Kremer Wesley D · CIK 0001650273 · President, RMD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,900

Underlying: Common Stock · 43,900 shares

Expires 2031-02-07

F2 · balance_after: In addition to the stock appreciation rights (SARs) and not included in this number, the reporting person was also awarded 28,970 performance share units (PSUs) under the RTX Long-Term Incentive Plan. Each PSU has a value equal to one share of RTX Common Stock. These PSUs vest solely upon achievement of pre-established performance goals for RTX's return on invested capital (ROIC), earnings per share (EPS) growth and total shareholder return (TSR) relative to the S&P 500 and aerospace & defense peer companies. The performance period for EPS growth and ROIC is one-year, followed by a two-year holding period. Both TSR goals have a three-year performance period.

SEC source: 0001225208-21-002074 · doc4.xml · derivative · entry 1

Kremer Wesley D · CIK 0001650273 · President, RMD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,771

Underlying: Common Stock · 9,660 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of RTX Common Stock. These RSUs vest on the third anniversary of the date of grant.

F1 · derivative.exercise_date: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of RTX Common Stock. These RSUs vest on the third anniversary of the date of grant.

F1 · derivative.expiration_date: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of RTX Common Stock. These RSUs vest on the third anniversary of the date of grant.

SEC source: 0001225208-21-002075 · doc4.xml · derivative · entry 2

Timm Stephen J. · CIK 0001803488 · President, Collins Aerospace

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,900

Underlying: Common Stock · 43,900 shares

Expires 2031-02-07

F2 · balance_after: This number reflects only stock appreciation rights (SARs) with these specific grant details and does not include other SARs. In addition to the SARs and not included in this number, the reporting person was also awarded 28,970 performance share units (PSUs) under the RTX Long-Term Incentive Plan. Each PSU has a value equal to one share of RTX Common Stock. These PSUs vest solely upon achievement of pre-established performance goals for RTX's return on invested capital (ROIC), earnings per share (EPS) growth and total shareholder return (TSR) relative to the S&P 500 and aerospace & defense peer companies. The performance period for EPS growth and ROIC is one-year, followed by a two-year holding period. Both TSR goals have a three-year performance period.

SEC source: 0001225208-21-002075 · doc4.xml · derivative · entry 1

Timm Stephen J. · CIK 0001803488 · President, Collins Aerospace

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,951

Underlying: Common Stock · 9,660 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of RTX Common Stock. These RSUs vest on the third anniversary of the date of grant.

F1 · derivative.exercise_date: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of RTX Common Stock. These RSUs vest on the third anniversary of the date of grant.

F1 · derivative.expiration_date: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of RTX Common Stock. These RSUs vest on the third anniversary of the date of grant.

SEC source: 0001225208-21-002076 · doc4.xml · derivative · entry 2

O'Brien Anthony F · CIK 0001636181 · EVP, Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,200

Underlying: Common Stock · 50,200 shares

Expires 2031-02-07

F2 · balance_after: In addition to the stock appreciation rights (SARs) and not included in this number, the reporting person was also awarded 33,110 performance share units (PSUs) under the RTX Long-Term Incentive Plan. Each PSU has a value equal to one share of RTX Common Stock. These PSUs vest solely upon achievement of pre-established performance goals for RTX's return on invested capital (ROIC), earnings per share (EPS) growth and total shareholder return (TSR) relative to the S&P 500 and aerospace & defense peer companies. The performance period for EPS growth and ROIC is one-year, followed by a two-year holding period. Both TSR goals have a three-year performance period.

SEC source: 0001225208-21-002076 · doc4.xml · derivative · entry 1

O'Brien Anthony F · CIK 0001636181 · EVP, Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,330

Underlying: Common Stock · 11,040 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of RTX Common Stock. These RSUs vest on the third anniversary of the date of grant.

F1 · derivative.exercise_date: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of RTX Common Stock. These RSUs vest on the third anniversary of the date of grant.

F1 · derivative.expiration_date: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of RTX Common Stock. These RSUs vest on the third anniversary of the date of grant.

SEC source: 0001225208-21-002078 · doc4.xml · derivative · entry 2

Williams Dantaya M · CIK 0001815109 · EVP & Chief HR Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,100

Underlying: Common Stock · 25,100 shares

Expires 2031-02-07

F2 · balance_after: This number reflects only stock appreciation rights (SARs) with these specific grant details and does not include other SARs. In addition to the SARs and not included in this number, the reporting person was also awarded 16,555 performance share units (PSUs) under the RTX Long-Term Incentive Plan. Each PSU has a value equal to one share of RTX Common Stock. These PSUs vest solely upon achievement of pre-established performance goals for RTX's return on invested capital (ROIC), earnings per share (EPS) growth and total shareholder return (TSR) relative to the S&P 500 and aerospace & defense peer companies. The performance period for EPS growth and ROIC is one-year, followed by a two-year holding period. Both TSR goals have a three-year performance period.

SEC source: 0001225208-21-002078 · doc4.xml · derivative · entry 1

Williams Dantaya M · CIK 0001815109 · EVP & Chief HR Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,615

Underlying: Common Stock · 5,520 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of RTX Common Stock. These RSUs vest on the third anniversary of the date of grant.

F1 · derivative.exercise_date: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of RTX Common Stock. These RSUs vest on the third anniversary of the date of grant.

F1 · derivative.expiration_date: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of RTX Common Stock. These RSUs vest on the third anniversary of the date of grant.

SEC source: 0001225208-21-002077 · doc4.xml · derivative · entry 2

Jimenez Frank R · CIK 0001465175 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,700

Underlying: Common Stock · 37,700 shares

Expires 2031-02-07

F2 · balance_after: In addition to the stock appreciation rights (SARs) and not included in this number, the reporting person was also awarded 24,835 performance share units (PSUs) under the RTX Long-Term Incentive Plan. Each PSU has a value equal to one share of RTX Common Stock. These PSUs vest solely upon achievement of pre-established performance goals for RTX's return on invested capital (ROIC), earnings per share (EPS) growth and total shareholder return (TSR) relative to the S&P 500 and aerospace & defense peer companies. The performance period for EPS growth and ROIC is one-year, followed by a two-year holding period. Both TSR goals have a three-year performance period.

SEC source: 0001225208-21-002077 · doc4.xml · derivative · entry 1

Jimenez Frank R · CIK 0001465175 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,699

Underlying: Common Stock · 8,280 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of RTX Common Stock. These RSUs vest on the third anniversary of the date of grant.

F1 · derivative.exercise_date: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of RTX Common Stock. These RSUs vest on the third anniversary of the date of grant.

F1 · derivative.expiration_date: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of RTX Common Stock. These RSUs vest on the third anniversary of the date of grant.

SEC source: 0001225208-21-002079 · doc4.xml · derivative · entry 2

Dumais Michael R · CIK 0001531769 · EVP,Chf Transformation Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,900

Underlying: Common Stock · 43,900 shares

Expires 2031-02-07

F2 · balance_after: This number reflects only stock appreciation rights (SARs) with these specific grant details and does not include other SARs. In addition to the SARs and not included in this number, the reporting person was also awarded 28,970 performance share units (PSUs) under the RTX Long-Term Incentive Plan. Each PSU has a value equal to one share of RTX Common Stock. These PSUs vest solely upon achievement of pre-established performance goals for RTX's return on invested capital (ROIC), earnings per share (EPS) growth and total shareholder return (TSR) relative to the S&P 500 and aerospace & defense peer companies. The performance period for EPS growth and ROIC is one-year, followed by a two-year holding period. Both TSR goals have a three-year performance period.

SEC source: 0001225208-21-002079 · doc4.xml · derivative · entry 1

Dumais Michael R · CIK 0001531769 · EVP,Chf Transformation Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,372

Underlying: Common Stock · 9,660 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of RTX Common Stock. These RSUs vest on the third anniversary of the date of grant.

F1 · derivative.exercise_date: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of RTX Common Stock. These RSUs vest on the third anniversary of the date of grant.

F1 · derivative.expiration_date: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of RTX Common Stock. These RSUs vest on the third anniversary of the date of grant.

SEC source: 0001225208-21-002081 · doc4.xml · derivative · entry 2

DaSilva Kevin G · CIK 0001399738 · Corporate VP and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,100

Underlying: Common Stock · 10,100 shares

Expires 2031-02-07

F2 · balance_after: In addition to the stock appreciation rights (SARs) and not included in this number, the reporting person was also awarded 3,315 performance share units (PSUs) under the RTX Long-Term Incentive Plan. Each PSU has a value equal to one share of RTX Common Stock. These PSUs vest solely upon achievement of pre-established performance goals for RTX's return on invested capital (ROIC), earnings per share (EPS) growth and total shareholder return (TSR) relative to the S&P 500 and aerospace & defense peer companies. The performance period for EPS growth and ROIC is one-year, followed by a two-year holding period. Both TSR goals have a three-year performance period.

SEC source: 0001225208-21-002081 · doc4.xml · derivative · entry 1

DaSilva Kevin G · CIK 0001399738 · Corporate VP and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,776

Underlying: Common Stock · 5,520 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of RTX Common Stock. These RSUs vest on the third anniversary of the date of grant.

F1 · derivative.exercise_date: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of RTX Common Stock. These RSUs vest on the third anniversary of the date of grant.

F1 · derivative.expiration_date: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of RTX Common Stock. These RSUs vest on the third anniversary of the date of grant.

SEC source: 0001225208-21-002080 · doc4.xml · derivative · entry 2

Wood Michael J · CIK 0001377272 · Corporate VP and Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,500

Underlying: Common Stock · 9,500 shares

Expires 2031-02-07

F2 · balance_after: In addition to the stock appreciation rights (SARs) and not included in this number, the reporting person was also awarded 3,105 performance share units (PSUs) under the RTX Long-Term Incentive Plan. Each PSU has a value equal to one share of RTX Common Stock. These PSUs vest solely upon achievement of pre-established performance goals for RTX's return on invested capital (ROIC), earnings per share (EPS) growth and total shareholder return (TSR) relative to the S&P 500 and aerospace & defense peer companies. The performance period for EPS growth and ROIC is one-year, followed by a two-year holding period. Both TSR goals have a three-year performance period.

SEC source: 0001225208-21-002080 · doc4.xml · derivative · entry 1

Wood Michael J · CIK 0001377272 · Corporate VP and Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,431

Underlying: Common Stock · 5,175 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of RTX Common Stock. These RSUs vest on the third anniversary of the date of grant.

F1 · derivative.exercise_date: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of RTX Common Stock. These RSUs vest on the third anniversary of the date of grant.

F1 · derivative.expiration_date: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of RTX Common Stock. These RSUs vest on the third anniversary of the date of grant.

SEC source: 0001225208-21-001159 · doc4.xml · nonDerivative · entry 2

Azevedo Roy · CIK 0001752295 · President, RIS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,574

F2 · balance_after: The Form 4 filed by the reporting person on April 3, 2020 incorrectly overstated the number of shares of common stock held by the reporting person by 1 share. This clerical error has been corrected for purposes of calculating the total number of shares of common stock held by the reporting person as reported on this Form 4.

SEC source: 0001225208-21-001161 · doc4.xml · nonDerivative · entry 2

Jimenez Frank R · CIK 0001465175 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,670

SEC source: 0001225208-21-001160 · doc4.xml · nonDerivative · entry 2

DaSilva Kevin G · CIK 0001399738 · Corporate VP and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,208

SEC source: 0001225208-21-001162 · doc4.xml · nonDerivative · entry 2

Kennedy Thomas A · CIK 0001495635 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 422,224

SEC source: 0001225208-21-001163 · doc4.xml · nonDerivative · entry 2

Kremer Wesley D · CIK 0001650273 · President, RMD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,137

F2 · balance_after: The Form 4 filed by the reporting person on April 3, 2020 incorrectly overstated the number of shares of common stock held by the reporting person by 2 shares. This clerical error has been corrected for purposes of calculating the total number of shares of common stock held by the reporting person as reported on this Form 4.

SEC source: 0001225208-21-001164 · doc4.xml · nonDerivative · entry 2

O'Brien Anthony F · CIK 0001636181 · EVP, Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,575

SEC source: 0001225208-21-001165 · doc4.xml · nonDerivative · entry 2

Wood Michael J · CIK 0001377272 · Corporate VP and Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,976

SEC source: 0001225208-21-001159 · doc4.xml · derivative · entry 3

Azevedo Roy · CIK 0001752295 · President, RIS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,739

Underlying: Common Stock · 16,396 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Time-based restricted stock units (RSUs) that represent the right to receive one share of the Issuer's Common Stock per unit.

F3 · derivative.exercise_date: Vesting of RSUs and delivery of shares with respect to the RSUs that were converted from Raytheon Company performance-based vesting RSUs originally granted on September 25, 2018 under the 2018-2020 Long-Term Performance Plan.

F3 · derivative.expiration_date: Vesting of RSUs and delivery of shares with respect to the RSUs that were converted from Raytheon Company performance-based vesting RSUs originally granted on September 25, 2018 under the 2018-2020 Long-Term Performance Plan.

SEC source: 0001225208-21-001159 · doc4.xml · nonDerivative · entry 1

Azevedo Roy · CIK 0001752295 · President, RIS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,321

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Time-based restricted stock units (RSUs) that represent the right to receive one share of the Issuer's Common Stock per unit.

F2 · balance_after: The Form 4 filed by the reporting person on April 3, 2020 incorrectly overstated the number of shares of common stock held by the reporting person by 1 share. This clerical error has been corrected for purposes of calculating the total number of shares of common stock held by the reporting person as reported on this Form 4.

SEC source: 0001225208-21-001161 · doc4.xml · derivative · entry 3

Jimenez Frank R · CIK 0001465175 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,419

Underlying: Common Stock · 22,237 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Time-based restricted stock units (RSUs) that represent the right to receive one share of the Issuer's Common Stock per unit.

F2 · derivative.exercise_date: Vesting of RSUs and delivery of shares with respect to the RSUs that were converted from Raytheon Company performance-based vesting RSUs originally granted on January 24, 2018 under the 2018-2020 Long-Term Performance Plan.

F2 · derivative.expiration_date: Vesting of RSUs and delivery of shares with respect to the RSUs that were converted from Raytheon Company performance-based vesting RSUs originally granted on January 24, 2018 under the 2018-2020 Long-Term Performance Plan.

SEC source: 0001225208-21-001161 · doc4.xml · nonDerivative · entry 1

Jimenez Frank R · CIK 0001465175 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,350

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Time-based restricted stock units (RSUs) that represent the right to receive one share of the Issuer's Common Stock per unit.

SEC source: 0001225208-21-001160 · doc4.xml · derivative · entry 3

DaSilva Kevin G · CIK 0001399738 · Corporate VP and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,256

Underlying: Common Stock · 6,673 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Time-based restricted stock units (RSUs) that represent the right to receive one share of the Issuer's Common Stock per unit.

F2 · derivative.exercise_date: Vesting of RSUs and delivery of shares with respect to the RSUs that were converted from Raytheon Company performance-based vesting RSUs originally granted on January 24, 2018 under the 2018-2020 Long-Term Performance Plan.

F2 · derivative.expiration_date: Vesting of RSUs and delivery of shares with respect to the RSUs that were converted from Raytheon Company performance-based vesting RSUs originally granted on January 24, 2018 under the 2018-2020 Long-Term Performance Plan.

SEC source: 0001225208-21-001160 · doc4.xml · nonDerivative · entry 1

DaSilva Kevin G · CIK 0001399738 · Corporate VP and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,258

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Time-based restricted stock units (RSUs) that represent the right to receive one share of the Issuer's Common Stock per unit.

SEC source: 0001225208-21-001162 · doc4.xml · derivative · entry 3

Kennedy Thomas A · CIK 0001495635 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 305,810

Underlying: Common Stock · 99,001 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Time-based restricted stock units (RSUs) that represent the right to receive one share of the Issuer's Common Stock per unit.

F2 · derivative.exercise_date: Vesting of RSUs and delivery of shares with respect to the RSUs that were converted from Raytheon Company performance-based vesting RSUs originally granted on January 24, 2018 under the 2018-2020 Long-Term Performance Plan.

F2 · derivative.expiration_date: Vesting of RSUs and delivery of shares with respect to the RSUs that were converted from Raytheon Company performance-based vesting RSUs originally granted on January 24, 2018 under the 2018-2020 Long-Term Performance Plan.

SEC source: 0001225208-21-001162 · doc4.xml · nonDerivative · entry 1

Kennedy Thomas A · CIK 0001495635 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 461,542

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Time-based restricted stock units (RSUs) that represent the right to receive one share of the Issuer's Common Stock per unit.

SEC source: 0001225208-21-001163 · doc4.xml · derivative · entry 4

Kremer Wesley D · CIK 0001650273 · President, RMD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,111

Underlying: Common Stock · 22,190 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Time-based restricted stock units (RSUs) that represent the right to receive one share of the Issuer's Common Stock per unit.

F3 · derivative.exercise_date: Vesting of RSUs and delivery of shares with respect to the RSUs that were converted from Raytheon Company performance-based vesting RSUs originally granted on January 24, 2018 under the 2018-2020 Long-Term Performance Plan.

F3 · derivative.expiration_date: Vesting of RSUs and delivery of shares with respect to the RSUs that were converted from Raytheon Company performance-based vesting RSUs originally granted on January 24, 2018 under the 2018-2020 Long-Term Performance Plan.

SEC source: 0001225208-21-001163 · doc4.xml · nonDerivative · entry 1

Kremer Wesley D · CIK 0001650273 · President, RMD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,216

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Time-based restricted stock units (RSUs) that represent the right to receive one share of the Issuer's Common Stock per unit.

F2 · balance_after: The Form 4 filed by the reporting person on April 3, 2020 incorrectly overstated the number of shares of common stock held by the reporting person by 2 shares. This clerical error has been corrected for purposes of calculating the total number of shares of common stock held by the reporting person as reported on this Form 4.

SEC source: 0001225208-21-001164 · doc4.xml · derivative · entry 5

O'Brien Anthony F · CIK 0001636181 · EVP, Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,290

Underlying: Common Stock · 27,310 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Time-based restricted stock units (RSUs) that represent the right to receive one share of the Issuer's Common Stock per unit.

F2 · derivative.exercise_date: Vesting of RSUs and delivery of shares with respect to the RSUs that were converted from Raytheon Company performance-based vesting RSUs originally granted on January 24, 2018 under the 2018-2020 Long-Term Performance Plan.

F2 · derivative.expiration_date: Vesting of RSUs and delivery of shares with respect to the RSUs that were converted from Raytheon Company performance-based vesting RSUs originally granted on January 24, 2018 under the 2018-2020 Long-Term Performance Plan.

SEC source: 0001225208-21-001164 · doc4.xml · nonDerivative · entry 1

O'Brien Anthony F · CIK 0001636181 · EVP, Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,783

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Time-based restricted stock units (RSUs) that represent the right to receive one share of the Issuer's Common Stock per unit.