RTX

SEC source: 0001225208-21-001165 · doc4.xml · derivative · entry 3

Wood Michael J · CIK 0001377272 · Corporate VP and Controller

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: 0001225208-21-001165 · doc4.xml · nonDerivative · entry 1

Wood Michael J · CIK 0001377272 · Corporate VP and Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,023

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: 0001225208-21-000308 · doc4.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,263

SEC source: 0001225208-21-000308 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,826

SEC source: 0001225208-21-000309 · doc4.xml · nonDerivative · entry 4

Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,032

SEC source: 0001225208-21-000309 · doc4.xml · nonDerivative · entry 3

Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,418

SEC source: 0001225208-21-000310 · doc4.xml · nonDerivative · entry 4

HAYES GREGORY · CIK 0001225946 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 329,576

SEC source: 0001225208-21-000310 · doc4.xml · nonDerivative · entry 3

HAYES GREGORY · CIK 0001225946 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 368,403

SEC source: 0001225208-21-000311 · doc4.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,822.7544

F3 · balance_after: 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.

SEC source: 0001225208-21-000311 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,598.7544

SEC source: 0001225208-21-005752 · doc4a.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,789.0179

F4 · balance_after: Includes 2,411.0179 deferred Performance Share Units (PSUs), including the net 407.2635 deferred units (following tax withholding) 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. This amendment is being filed to correct the number of withheld shares previously reported and the total number of securities owned following the transaction.

SEC source: 0001225208-21-005752 · doc4a.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,565.0179

F3 · shares: Due to an administrative error, the Form 4 filed on January 5, 2021 reported the number of shares of RTX common stock withheld to satisfy taxes as 135, when the actual number of shares withheld was 168.7365. This amendment is being filed to correct the number of withheld shares previously reported and the total number of securities owned following the transaction.

SEC source: 0001225208-21-000308 · doc4.xml · derivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,215

Underlying: Common Stock · 11,037 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 performance share units (PSUs ) originally awarded on January 2, 2018 under the legacy United Technologies Long-Term Incentive Plan (LTIP).

F3 · derivative.expiration_date: Vesting of RSUs and delivery of shares with respect to the RSUs that were converted from performance share units (PSUs ) originally awarded on January 2, 2018 under the legacy United Technologies Long-Term Incentive Plan (LTIP).

SEC source: 0001225208-21-000308 · doc4.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,252

Underlying: Common Stock · 3,985 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 originally awarded on January 2, 2018.

F2 · derivative.expiration_date: Vesting of RSUs and delivery of shares with respect to the RSUs originally awarded on January 2, 2018.

SEC source: 0001225208-21-000308 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,137

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: 0001225208-21-000308 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,152

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: 0001225208-21-000309 · doc4.xml · derivative · entry 7

Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,712

Underlying: Common Stock · 25,184 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 performance share units (PSUs ) originally awarded on January 2, 2018 under the legacy United Technologies Long-Term Incentive Plan (LTIP).

F3 · derivative.expiration_date: Vesting of RSUs and delivery of shares with respect to the RSUs that were converted from performance share units (PSUs ) originally awarded on January 2, 2018 under the legacy United Technologies Long-Term Incentive Plan (LTIP).

SEC source: 0001225208-21-000309 · doc4.xml · derivative · entry 6

Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 119,896

Underlying: Common Stock · 9,604 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 originally awarded on January 2, 2018.

F2 · derivative.expiration_date: Vesting of RSUs and delivery of shares with respect to the RSUs originally awarded on January 2, 2018.

SEC source: 0001225208-21-000309 · doc4.xml · nonDerivative · entry 2

Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,452

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: 0001225208-21-000309 · doc4.xml · nonDerivative · entry 1

Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,848

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: 0001225208-21-000310 · doc4.xml · derivative · entry 10

HAYES GREGORY · CIK 0001225946 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 194,088

Underlying: Common Stock · 93,244 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 performance share units (PSUs ) originally awarded on January 2, 2018 under the legacy United Technologies Long-Term Incentive Plan (LTIP).

F3 · derivative.expiration_date: Vesting of RSUs and delivery of shares with respect to the RSUs that were converted from performance share units (PSUs ) originally awarded on January 2, 2018 under the legacy United Technologies Long-Term Incentive Plan (LTIP).

SEC source: 0001225208-21-000310 · doc4.xml · derivative · entry 9

HAYES GREGORY · CIK 0001225946 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 287,332

Underlying: Common Stock · 35,341 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 originally awarded on January 2, 2018.

F2 · derivative.expiration_date: Vesting of RSUs and delivery of shares with respect to the RSUs originally awarded on January 2, 2018.

SEC source: 0001225208-21-000310 · doc4.xml · nonDerivative · entry 2

HAYES GREGORY · CIK 0001225946 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 383,950

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: 0001225208-21-000310 · doc4.xml · nonDerivative · entry 1

HAYES GREGORY · CIK 0001225946 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 348,609

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: 0001225208-21-000311 · doc4.xml · derivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,095

Underlying: Common Stock · 2,122 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.

F5 · derivative.exercise_date: Vesting of RSUs and delivery of shares with respect to the RSUs originally awarded on January 2, 2018.

F5 · derivative.expiration_date: Vesting of RSUs and delivery of shares with respect to the RSUs originally awarded on January 2, 2018.

SEC source: 0001225208-21-000311 · doc4.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,217

Underlying: Common Stock · 883 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.

F4 · derivative.exercise_date: 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.

F4 · derivative.expiration_date: 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.

SEC source: 0001225208-21-000311 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,733.7544

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.

F2 · shares: 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.

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: 0001225208-21-000311 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,850.7544

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: 0001225208-21-005752 · doc4a.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,733.7544

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 · shares: Includes 441 shares of common stock that otherwise would be received upon the vesting of these restricted stock units (RSUs) for which the reporting person previously elected to defer receipt. The reporting person instead acquired 407.2635 deferred stock units (the net amount following tax withholding) that settle exclusively in shares and are included in this Table I as common stock equivalents.

F2 · price: Time-based RSUs that represent the right to receive one share of the Issuer's Common Stock per unit.

SEC source: 0001225208-20-014911 · doc4.xml · derivative · entry 1

Azevedo Roy · CIK 0001752295 · President, RIS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,135

Underlying: Common Stock · 27,390 shares

Expires not disclosed

F1 · derivative.exercise_price: These Restricted Stock Units ("RSUs") are awarded in connection with the reporting person's membership in the Raytheon Technologies Corporation ("RTX") Executive Leadership Group ("ELG"). Following three years of ELG service, each RSU, including accumulated dividend equivalents, represents a right to receive one share of RTX Common Stock upon a Qualifying Separation from RTX (as defined in Exhibit 10.6 of legacy United Technologies Corporation's 2019 Form 10-K).

F1 · price: These Restricted Stock Units ("RSUs") are awarded in connection with the reporting person's membership in the Raytheon Technologies Corporation ("RTX") Executive Leadership Group ("ELG"). Following three years of ELG service, each RSU, including accumulated dividend equivalents, represents a right to receive one share of RTX Common Stock upon a Qualifying Separation from RTX (as defined in Exhibit 10.6 of legacy United Technologies Corporation's 2019 Form 10-K).

F1 · derivative.exercise_date: These Restricted Stock Units ("RSUs") are awarded in connection with the reporting person's membership in the Raytheon Technologies Corporation ("RTX") Executive Leadership Group ("ELG"). Following three years of ELG service, each RSU, including accumulated dividend equivalents, represents a right to receive one share of RTX Common Stock upon a Qualifying Separation from RTX (as defined in Exhibit 10.6 of legacy United Technologies Corporation's 2019 Form 10-K).

F1 · derivative.expiration_date: These Restricted Stock Units ("RSUs") are awarded in connection with the reporting person's membership in the Raytheon Technologies Corporation ("RTX") Executive Leadership Group ("ELG"). Following three years of ELG service, each RSU, including accumulated dividend equivalents, represents a right to receive one share of RTX Common Stock upon a Qualifying Separation from RTX (as defined in Exhibit 10.6 of legacy United Technologies Corporation's 2019 Form 10-K).

SEC source: 0001225208-20-014913 · doc4.xml · derivative · entry 1

Kremer Wesley D · CIK 0001650273 · President, RMD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,301

Underlying: Common Stock · 27,390 shares

Expires not disclosed

F1 · derivative.exercise_price: These Restricted Stock Units ("RSUs") are awarded in connection with the reporting person's membership in the Raytheon Technologies Corporation ("RTX") Executive Leadership Group ("ELG"). Following three years of ELG service, each RSU, including accumulated dividend equivalents, represents a right to receive one share of RTX Common Stock upon a Qualifying Separation from RTX (as defined in Exhibit 10.6 of legacy United Technologies Corporation's 2019 Form 10-K).

F1 · price: These Restricted Stock Units ("RSUs") are awarded in connection with the reporting person's membership in the Raytheon Technologies Corporation ("RTX") Executive Leadership Group ("ELG"). Following three years of ELG service, each RSU, including accumulated dividend equivalents, represents a right to receive one share of RTX Common Stock upon a Qualifying Separation from RTX (as defined in Exhibit 10.6 of legacy United Technologies Corporation's 2019 Form 10-K).

F1 · derivative.exercise_date: These Restricted Stock Units ("RSUs") are awarded in connection with the reporting person's membership in the Raytheon Technologies Corporation ("RTX") Executive Leadership Group ("ELG"). Following three years of ELG service, each RSU, including accumulated dividend equivalents, represents a right to receive one share of RTX Common Stock upon a Qualifying Separation from RTX (as defined in Exhibit 10.6 of legacy United Technologies Corporation's 2019 Form 10-K).

F1 · derivative.expiration_date: These Restricted Stock Units ("RSUs") are awarded in connection with the reporting person's membership in the Raytheon Technologies Corporation ("RTX") Executive Leadership Group ("ELG"). Following three years of ELG service, each RSU, including accumulated dividend equivalents, represents a right to receive one share of RTX Common Stock upon a Qualifying Separation from RTX (as defined in Exhibit 10.6 of legacy United Technologies Corporation's 2019 Form 10-K).

SEC source: 0001225208-20-014912 · doc4.xml · derivative · entry 1

Jimenez Frank R · CIK 0001465175 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,656

Underlying: Common Stock · 27,390 shares

Expires not disclosed

F1 · derivative.exercise_price: These Restricted Stock Units ("RSUs") are awarded in connection with the reporting person's membership in the Raytheon Technologies Corporation ("RTX") Executive Leadership Group ("ELG"). Following three years of ELG service, each RSU, including accumulated dividend equivalents, represents a right to receive one share of RTX Common Stock upon a Qualifying Separation from RTX (as defined in Exhibit 10.6 of legacy United Technologies Corporation's 2019 Form 10-K).

F1 · price: These Restricted Stock Units ("RSUs") are awarded in connection with the reporting person's membership in the Raytheon Technologies Corporation ("RTX") Executive Leadership Group ("ELG"). Following three years of ELG service, each RSU, including accumulated dividend equivalents, represents a right to receive one share of RTX Common Stock upon a Qualifying Separation from RTX (as defined in Exhibit 10.6 of legacy United Technologies Corporation's 2019 Form 10-K).

F1 · derivative.exercise_date: These Restricted Stock Units ("RSUs") are awarded in connection with the reporting person's membership in the Raytheon Technologies Corporation ("RTX") Executive Leadership Group ("ELG"). Following three years of ELG service, each RSU, including accumulated dividend equivalents, represents a right to receive one share of RTX Common Stock upon a Qualifying Separation from RTX (as defined in Exhibit 10.6 of legacy United Technologies Corporation's 2019 Form 10-K).

F1 · derivative.expiration_date: These Restricted Stock Units ("RSUs") are awarded in connection with the reporting person's membership in the Raytheon Technologies Corporation ("RTX") Executive Leadership Group ("ELG"). Following three years of ELG service, each RSU, including accumulated dividend equivalents, represents a right to receive one share of RTX Common Stock upon a Qualifying Separation from RTX (as defined in Exhibit 10.6 of legacy United Technologies Corporation's 2019 Form 10-K).

SEC source: 0001225208-20-014914 · 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: 103,600

Underlying: Common Stock · 27,390 shares

Expires not disclosed

F1 · derivative.exercise_price: These Restricted Stock Units ("RSUs") are awarded in connection with the reporting person's membership in the Raytheon Technologies Corporation ("RTX") Executive Leadership Group ("ELG"). Following three years of ELG service, each RSU, including accumulated dividend equivalents, represents a right to receive one share of RTX Common Stock upon a Qualifying Separation from RTX (as defined in Exhibit 10.6 of legacy United Technologies Corporation's 2019 Form 10-K).

F1 · price: These Restricted Stock Units ("RSUs") are awarded in connection with the reporting person's membership in the Raytheon Technologies Corporation ("RTX") Executive Leadership Group ("ELG"). Following three years of ELG service, each RSU, including accumulated dividend equivalents, represents a right to receive one share of RTX Common Stock upon a Qualifying Separation from RTX (as defined in Exhibit 10.6 of legacy United Technologies Corporation's 2019 Form 10-K).

F1 · derivative.exercise_date: These Restricted Stock Units ("RSUs") are awarded in connection with the reporting person's membership in the Raytheon Technologies Corporation ("RTX") Executive Leadership Group ("ELG"). Following three years of ELG service, each RSU, including accumulated dividend equivalents, represents a right to receive one share of RTX Common Stock upon a Qualifying Separation from RTX (as defined in Exhibit 10.6 of legacy United Technologies Corporation's 2019 Form 10-K).

F1 · derivative.expiration_date: These Restricted Stock Units ("RSUs") are awarded in connection with the reporting person's membership in the Raytheon Technologies Corporation ("RTX") Executive Leadership Group ("ELG"). Following three years of ELG service, each RSU, including accumulated dividend equivalents, represents a right to receive one share of RTX Common Stock upon a Qualifying Separation from RTX (as defined in Exhibit 10.6 of legacy United Technologies Corporation's 2019 Form 10-K).

SEC source: 0001225208-20-014383 · doc4.xml · derivative · entry 4

Ortberg Robert Kelly · CIK 0001377692 · Director · Special Advisor to Off of CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 222,459

Underlying: Common Stock · 5,249 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 to satisfy federal tax obligations with respect to the RSUs originally awarded on December 3, 2018.

F2 · derivative.expiration_date: Vesting of RSUs and delivery of shares to satisfy federal tax obligations with respect to the RSUs originally awarded on December 3, 2018.

SEC source: 0001225208-20-014383 · doc4.xml · nonDerivative · entry 2

Ortberg Robert Kelly · CIK 0001377692 · Director · Special Advisor to Off of CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 119,133.507

SEC source: 0001225208-20-014383 · doc4.xml · nonDerivative · entry 1

Ortberg Robert Kelly · CIK 0001377692 · Director · Special Advisor to Off of CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 124,382.507

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: 0001225208-20-013596 · doc4.xml · derivative · entry 4

Ortberg Robert Kelly · CIK 0001377692 · Director · Special Advisor to Off of CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 227,708

Underlying: Common Stock · 17,056 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 to satisfy federal tax obligations with respect to the RSUs that were converted from Rockwell Collins RSUs originally awarded on November 13, 2017.

F2 · derivative.expiration_date: Vesting of RSUs and delivery of shares to satisfy federal tax obligations with respect to the RSUs that were converted from Rockwell Collins RSUs originally awarded on November 13, 2017.

SEC source: 0001225208-20-013596 · doc4.xml · nonDerivative · entry 2

Ortberg Robert Kelly · CIK 0001377692 · Director · Special Advisor to Off of CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 119,133.507

SEC source: 0001225208-20-013596 · doc4.xml · nonDerivative · entry 1

Ortberg Robert Kelly · CIK 0001377692 · Director · Special Advisor to Off of CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,793.507

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: 0001225208-20-013597 · doc4.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,095

Underlying: Common Stock · 701 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 to satisfy federal tax obligations with respect to the RSUs that were converted from Rockwell Collins RSUs originally awarded on November 13, 2017.

F2 · derivative.expiration_date: Vesting of RSUs and delivery of shares to satisfy federal tax obligations with respect to the RSUs that were converted from Rockwell Collins RSUs originally awarded on November 13, 2017.

SEC source: 0001225208-20-013597 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,031

SEC source: 0001225208-20-013597 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,345

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: 0001225208-20-012820 · doc4.xml · nonDerivative · entry 1

Paliwal Dinesh C · CIK 0001360224 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,946.518

F1 · price: The reported price is based on a weighted average of multiple same-day transactions with prices ranging from $52.28 to $52.51 per share. Full information regarding the number of shares purchased at each separateprice is available to the Securities and Exchange Commission, the Issuer or any security holder of the Issuer upon request.

F2 · balance_after: Includes shares acquired pursuant to a dividend reinvestment plan in June and September of 2020.

SEC source: 0001225208-20-012821 · doc4.xml · nonDerivative · entry 1

Kennedy Thomas A · CIK 0001495635 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 362,541

F1 · price: The reported price is based on a weighted average of multiple same-day transactions with prices ranging from $52.2875 to $52.8299 per share. Full information regarding the number of shares purchased at each separate price is available to the Securities and Exchange Commission, the Issuer or any security holder of the Issuer upon request.

SEC source: 0001225208-20-012822 · doc4.xml · nonDerivative · entry 1

Jimenez Frank R · CIK 0001465175 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,113

SEC source: 0001225208-20-012818 · doc4.xml · nonDerivative · entry 3

HAYES GREGORY · CIK 0001225946 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Savings Plan Trustee

Disclosed balance after: 11,853

SEC source: 0001225208-20-012818 · doc4.xml · nonDerivative · entry 2

HAYES GREGORY · CIK 0001225946 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 255,365

F2 · price: The reported price is based on a weighted average of multiple same-day transactions with prices ranging from $55.00 to $55.20 per share. Full information regarding the number of shares purchased at each separate price is available to the Securities and Exchange Commission, the Issuer or any security holder of the Issuer upon request.

SEC source: 0001225208-20-012818 · doc4.xml · nonDerivative · entry 1

HAYES GREGORY · CIK 0001225946 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 235,365

F1 · price: The reported price is based on a weighted average of multiple same-day transactions with prices ranging from $54.00 to $54.80 per share. Full information regarding the number of shares purchased at each separate price is available to the Securities and Exchange Commission, the Issuer or any security holder of the Issuer upon request.

SEC source: 0001225208-20-012819 · doc4.xml · nonDerivative · entry 1

Winnefeld James A Jr · CIK 0001695566 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,860

SEC source: 0001225208-20-012242 · doc4.xml · derivative · entry 8

Ortberg Robert Kelly · CIK 0001377692 · Director · Special Advisor to Off of CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 244,764

Underlying: Common Stock · 51,169 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.

F2 · 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.

F4 · derivative.exercise_date: Vesting of RSUs and delivery of shares to satisfy federal tax obligations with respect to the RSUs that were converted from Rockwell Collins RSUs originally awarded on November 13, 2017.

F4 · derivative.expiration_date: Vesting of RSUs and delivery of shares to satisfy federal tax obligations with respect to the RSUs that were converted from Rockwell Collins RSUs originally awarded on November 13, 2017.