RTX

SEC source: 0000947871-20-000335 · ownership.xml · nonDerivative · entry 2

Jimenez Frank R · CIK 0001465175 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,113

SEC source: 0000947871-20-000335 · ownership.xml · nonDerivative · entry 1

Jimenez Frank R · CIK 0001465175 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,385

F1 · security: Pursuant to the terms of the Agreement and Plan of Merger, dated as of June 9, 2019, as amended by Amendment No. 1 to the Agreement and Plan of Merger, dated as of March 9, 2020, by and between United Technologies Corporation ("UTC") and Raytheon Company ("Raytheon") (the "Merger Agreement"), on April 3, 2020 (the "Closing Date"), Raytheon became a wholly owned subsidiary of UTC, with UTC becoming Raytheon Technologies Corporation. Pursuant to the Merger Agreement, on the Closing Date, each share of Raytheon Common Stock held by the reporting person was converted automatically into 2.3348 shares of UTC Common Stock.

F2 · shares: Includes (1) 8,022 restricted shares of RTX Common Stock that were converted from restricted shares of Raytheon Common Stock granted on March 21, 2018, (2) 12,711 restricted shares of RTX Common Stock that were converted from restricted shares of Raytheon Common Stock granted on March 20, 2019, and (3) 15,804 restricted shares of RTX Common Stock that were converted from restricted shares of Raytheon Common Stock granted on March 25, 2020, pursuant to the terms of the Merger Agreement. All such shares continue to vest in one-third increments on each of the second, third and fourth anniversaries of their original date of grant, as applicable.

F1 · price: Pursuant to the terms of the Agreement and Plan of Merger, dated as of June 9, 2019, as amended by Amendment No. 1 to the Agreement and Plan of Merger, dated as of March 9, 2020, by and between United Technologies Corporation ("UTC") and Raytheon Company ("Raytheon") (the "Merger Agreement"), on April 3, 2020 (the "Closing Date"), Raytheon became a wholly owned subsidiary of UTC, with UTC becoming Raytheon Technologies Corporation. Pursuant to the Merger Agreement, on the Closing Date, each share of Raytheon Common Stock held by the reporting person was converted automatically into 2.3348 shares of UTC Common Stock.

SEC source: 0000947871-20-000336 · ownership.xml · derivative · entry 5

Azevedo Roy · CIK 0001752295 · President, RIS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,713

Underlying: Common Stock · 16,024 shares

Expires not disclosed

F5 · derivative.exercise_price: Represents RTX RSUs that, pursuant to the terms of the Merger Agreement, were converted from Raytheon performance-based vesting restricted stock units granted on January 29, 2020 under the 2020-2022 LTPP. These RSUs will vest in full at the end of the original LTPP 3-year performance cycle.

F5 · price: Represents RTX RSUs that, pursuant to the terms of the Merger Agreement, were converted from Raytheon performance-based vesting restricted stock units granted on January 29, 2020 under the 2020-2022 LTPP. These RSUs will vest in full at the end of the original LTPP 3-year performance cycle.

F5 · derivative.exercise_date: Represents RTX RSUs that, pursuant to the terms of the Merger Agreement, were converted from Raytheon performance-based vesting restricted stock units granted on January 29, 2020 under the 2020-2022 LTPP. These RSUs will vest in full at the end of the original LTPP 3-year performance cycle.

F5 · derivative.expiration_date: Represents RTX RSUs that, pursuant to the terms of the Merger Agreement, were converted from Raytheon performance-based vesting restricted stock units granted on January 29, 2020 under the 2020-2022 LTPP. These RSUs will vest in full at the end of the original LTPP 3-year performance cycle.

SEC source: 0000947871-20-000336 · ownership.xml · derivative · entry 4

Azevedo Roy · CIK 0001752295 · President, RIS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,681

Underlying: Common Stock · 19,657 shares

Expires not disclosed

F4 · derivative.exercise_price: Represents RTX RSUs that, pursuant to the terms of the Merger Agreement, were converted from Raytheon performance-based vesting restricted stock units granted on January 30, 2019 under the 2019-2021 LTPP. These RSUs will vest in full at the end of the original LTPP 3-year performance cycle.

F4 · price: Represents RTX RSUs that, pursuant to the terms of the Merger Agreement, were converted from Raytheon performance-based vesting restricted stock units granted on January 30, 2019 under the 2019-2021 LTPP. These RSUs will vest in full at the end of the original LTPP 3-year performance cycle.

F4 · derivative.exercise_date: Represents RTX RSUs that, pursuant to the terms of the Merger Agreement, were converted from Raytheon performance-based vesting restricted stock units granted on January 30, 2019 under the 2019-2021 LTPP. These RSUs will vest in full at the end of the original LTPP 3-year performance cycle.

F4 · derivative.expiration_date: Represents RTX RSUs that, pursuant to the terms of the Merger Agreement, were converted from Raytheon performance-based vesting restricted stock units granted on January 30, 2019 under the 2019-2021 LTPP. These RSUs will vest in full at the end of the original LTPP 3-year performance cycle.

SEC source: 0000947871-20-000336 · ownership.xml · derivative · entry 3

Azevedo Roy · CIK 0001752295 · President, RIS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,032

Underlying: Common Stock · 17,032 shares

Expires not disclosed

F3 · derivative.exercise_price: Represents RTX restricted stock units ("RSUs") that, pursuant to the terms of the Merger Agreement, were converted from Raytheon performance-based vesting restricted stock units granted on September 25, 2018 under the 2018-2020 Long-Term Performance Plan ("LTPP"). These RSUs will vest in full at the end of the original LTPP 3-year performance cycle.

F3 · price: Represents RTX restricted stock units ("RSUs") that, pursuant to the terms of the Merger Agreement, were converted from Raytheon performance-based vesting restricted stock units granted on September 25, 2018 under the 2018-2020 Long-Term Performance Plan ("LTPP"). These RSUs will vest in full at the end of the original LTPP 3-year performance cycle.

F3 · derivative.exercise_date: Represents RTX restricted stock units ("RSUs") that, pursuant to the terms of the Merger Agreement, were converted from Raytheon performance-based vesting restricted stock units granted on September 25, 2018 under the 2018-2020 Long-Term Performance Plan ("LTPP"). These RSUs will vest in full at the end of the original LTPP 3-year performance cycle.

F3 · derivative.expiration_date: Represents RTX restricted stock units ("RSUs") that, pursuant to the terms of the Merger Agreement, were converted from Raytheon performance-based vesting restricted stock units granted on September 25, 2018 under the 2018-2020 Long-Term Performance Plan ("LTPP"). These RSUs will vest in full at the end of the original LTPP 3-year performance cycle.

SEC source: 0000947871-20-000336 · ownership.xml · nonDerivative · entry 2

Azevedo Roy · CIK 0001752295 · President, RIS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,926

SEC source: 0000947871-20-000336 · ownership.xml · nonDerivative · entry 1

Azevedo Roy · CIK 0001752295 · President, RIS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,300

F1 · security: Pursuant to the terms of the Agreement and Plan of Merger, dated as of June 9, 2019, as amended by Amendment No. 1 to the Agreement and Plan of Merger, dated as of March 9, 2020, by and between United Technologies Corporation ("UTC") and Raytheon Company ("Raytheon") (the "Merger Agreement"), on April 3, 2020 (the "Closing Date"), Raytheon became a wholly owned subsidiary of UTC, with UTC becoming Raytheon Technologies Corporation. Pursuant to the Merger Agreement, on the Closing Date, each share of Raytheon Common Stock held by the reporting person was converted automatically into 2.3348 shares of UTC Common Stock.

F2 · shares: Includes (1) 2,043 restricted shares of RTX Common Stock that were converted from restricted shares of Raytheon Common Stock granted on March 21, 2018, (2) 10,894 restricted shares of RTX Common Stock that were converted from restricted shares of Raytheon Common Stock granted on March 20, 2019, and (3) 16,771 restricted shares of RTX Common Stock that were converted from restricted shares of Raytheon Common Stock granted on March 25, 2020, pursuant to the terms of the Merger Agreement. All such shares continue to vest in one-third increments on each of the second, third and fourth anniversaries of their original date of grant, as applicable.

F1 · price: Pursuant to the terms of the Agreement and Plan of Merger, dated as of June 9, 2019, as amended by Amendment No. 1 to the Agreement and Plan of Merger, dated as of March 9, 2020, by and between United Technologies Corporation ("UTC") and Raytheon Company ("Raytheon") (the "Merger Agreement"), on April 3, 2020 (the "Closing Date"), Raytheon became a wholly owned subsidiary of UTC, with UTC becoming Raytheon Technologies Corporation. Pursuant to the Merger Agreement, on the Closing Date, each share of Raytheon Common Stock held by the reporting person was converted automatically into 2.3348 shares of UTC Common Stock.

SEC source: 0000947871-20-000338 · ownership.xml · derivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,430

Underlying: Common Stock · 20,233 shares

Expires not disclosed

F7 · derivative.exercise_price: Represents RTX RSUs that, pursuant to the terms of the Merger Agreement, were converted from Raytheon performance-based vesting restricted stock units granted on January 29, 2020 under the 2020-2022 LTPP. These RSUs will vest in full at the end of the original LTPP 3-year performance cycle.

F7 · price: Represents RTX RSUs that, pursuant to the terms of the Merger Agreement, were converted from Raytheon performance-based vesting restricted stock units granted on January 29, 2020 under the 2020-2022 LTPP. These RSUs will vest in full at the end of the original LTPP 3-year performance cycle.

F7 · derivative.exercise_date: Represents RTX RSUs that, pursuant to the terms of the Merger Agreement, were converted from Raytheon performance-based vesting restricted stock units granted on January 29, 2020 under the 2020-2022 LTPP. These RSUs will vest in full at the end of the original LTPP 3-year performance cycle.

F7 · derivative.expiration_date: Represents RTX RSUs that, pursuant to the terms of the Merger Agreement, were converted from Raytheon performance-based vesting restricted stock units granted on January 29, 2020 under the 2020-2022 LTPP. These RSUs will vest in full at the end of the original LTPP 3-year performance cycle.

SEC source: 0000947871-20-000338 · ownership.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,197

Underlying: Common Stock · 30,733 shares

Expires not disclosed

F6 · derivative.exercise_price: Represents RTX RSUs that, pursuant to the terms of the Merger Agreement, were converted from Raytheon performance-based vesting restricted stock units granted on January 30, 2019 under the 2019-2021 LTPP. These RSUs will vest in full at the end of the original LTPP 3-year performance cycle.

F6 · price: Represents RTX RSUs that, pursuant to the terms of the Merger Agreement, were converted from Raytheon performance-based vesting restricted stock units granted on January 30, 2019 under the 2019-2021 LTPP. These RSUs will vest in full at the end of the original LTPP 3-year performance cycle.

F6 · derivative.exercise_date: Represents RTX RSUs that, pursuant to the terms of the Merger Agreement, were converted from Raytheon performance-based vesting restricted stock units granted on January 30, 2019 under the 2019-2021 LTPP. These RSUs will vest in full at the end of the original LTPP 3-year performance cycle.

F6 · derivative.expiration_date: Represents RTX RSUs that, pursuant to the terms of the Merger Agreement, were converted from Raytheon performance-based vesting restricted stock units granted on January 30, 2019 under the 2019-2021 LTPP. These RSUs will vest in full at the end of the original LTPP 3-year performance cycle.

SEC source: 0000947871-20-000338 · ownership.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,464

Underlying: Common Stock · 28,464 shares

Expires not disclosed

F5 · derivative.exercise_price: Represents RTX restricted stock units ("RSUs") that, pursuant to the terms of the Merger Agreement, were converted from Raytheon performance-based vesting restricted stock units granted on January 24, 2018 under the 2018-2020 Long-Term Performance Plan ("LTPP"). These RSUs will vest in full at the end of the original LTPP 3-year performance cycle.

F5 · price: Represents RTX restricted stock units ("RSUs") that, pursuant to the terms of the Merger Agreement, were converted from Raytheon performance-based vesting restricted stock units granted on January 24, 2018 under the 2018-2020 Long-Term Performance Plan ("LTPP"). These RSUs will vest in full at the end of the original LTPP 3-year performance cycle.

F5 · derivative.exercise_date: Represents RTX restricted stock units ("RSUs") that, pursuant to the terms of the Merger Agreement, were converted from Raytheon performance-based vesting restricted stock units granted on January 24, 2018 under the 2018-2020 Long-Term Performance Plan ("LTPP"). These RSUs will vest in full at the end of the original LTPP 3-year performance cycle.

F5 · derivative.expiration_date: Represents RTX restricted stock units ("RSUs") that, pursuant to the terms of the Merger Agreement, were converted from Raytheon performance-based vesting restricted stock units granted on January 24, 2018 under the 2018-2020 Long-Term Performance Plan ("LTPP"). These RSUs will vest in full at the end of the original LTPP 3-year performance cycle.

SEC source: 0000947871-20-000338 · ownership.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Indirect · Benefit Plan

Disclosed balance after: 1,230

F1 · security: Pursuant to the terms of the Agreement and Plan of Merger, dated as of June 9, 2019, as amended by Amendment No. 1 to the Agreement and Plan of Merger, dated as of March 9, 2020, by and between United Technologies Corporation ("UTC") and Raytheon Company ("Raytheon") (the "Merger Agreement"), on April 3, 2020 (the "Closing Date"), Raytheon became a wholly owned subsidiary of UTC, with UTC becoming Raytheon Technologies Corporation. Pursuant to the Merger Agreement, on the Closing Date, each share of Raytheon Common Stock held by the reporting person was converted automatically into 2.3348 shares of UTC Common Stock.

F1 · price: Pursuant to the terms of the Agreement and Plan of Merger, dated as of June 9, 2019, as amended by Amendment No. 1 to the Agreement and Plan of Merger, dated as of March 9, 2020, by and between United Technologies Corporation ("UTC") and Raytheon Company ("Raytheon") (the "Merger Agreement"), on April 3, 2020 (the "Closing Date"), Raytheon became a wholly owned subsidiary of UTC, with UTC becoming Raytheon Technologies Corporation. Pursuant to the Merger Agreement, on the Closing Date, each share of Raytheon Common Stock held by the reporting person was converted automatically into 2.3348 shares of UTC Common Stock.

F4 · ownership.nature: The Reporting Person indirectly beneficially owns 1,230 shares of RTX Common Stock based on funds in the Reporting Person's other employee benefit plan account.

SEC source: 0000947871-20-000338 · ownership.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Indirect · 401(k)

Disclosed balance after: 10,663

F1 · security: Pursuant to the terms of the Agreement and Plan of Merger, dated as of June 9, 2019, as amended by Amendment No. 1 to the Agreement and Plan of Merger, dated as of March 9, 2020, by and between United Technologies Corporation ("UTC") and Raytheon Company ("Raytheon") (the "Merger Agreement"), on April 3, 2020 (the "Closing Date"), Raytheon became a wholly owned subsidiary of UTC, with UTC becoming Raytheon Technologies Corporation. Pursuant to the Merger Agreement, on the Closing Date, each share of Raytheon Common Stock held by the reporting person was converted automatically into 2.3348 shares of UTC Common Stock.

F1 · price: Pursuant to the terms of the Agreement and Plan of Merger, dated as of June 9, 2019, as amended by Amendment No. 1 to the Agreement and Plan of Merger, dated as of March 9, 2020, by and between United Technologies Corporation ("UTC") and Raytheon Company ("Raytheon") (the "Merger Agreement"), on April 3, 2020 (the "Closing Date"), Raytheon became a wholly owned subsidiary of UTC, with UTC becoming Raytheon Technologies Corporation. Pursuant to the Merger Agreement, on the Closing Date, each share of Raytheon Common Stock held by the reporting person was converted automatically into 2.3348 shares of UTC Common Stock.

F3 · ownership.nature: The Reporting Person indirectly beneficially owns 10,663 shares of RTX Common Stock based on funds in the Reporting Person's Savings and Investment Plan/Excess Savings Plan Account.

SEC source: 0000947871-20-000338 · ownership.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,473

SEC source: 0000947871-20-000338 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,314

F1 · security: Pursuant to the terms of the Agreement and Plan of Merger, dated as of June 9, 2019, as amended by Amendment No. 1 to the Agreement and Plan of Merger, dated as of March 9, 2020, by and between United Technologies Corporation ("UTC") and Raytheon Company ("Raytheon") (the "Merger Agreement"), on April 3, 2020 (the "Closing Date"), Raytheon became a wholly owned subsidiary of UTC, with UTC becoming Raytheon Technologies Corporation. Pursuant to the Merger Agreement, on the Closing Date, each share of Raytheon Common Stock held by the reporting person was converted automatically into 2.3348 shares of UTC Common Stock.

F2 · shares: Includes (1) 10,936 restricted shares of RTX Common Stock that were converted from restricted shares of Raytheon Common Stock granted on March 21, 2018, (2) 16,860 restricted shares of RTX Common Stock that were converted from restricted shares of Raytheon Common Stock granted on March 20, 2019, and (3) 20,964 restricted shares of RTX Common Stock that were converted from restricted shares of Raytheon Common Stock granted on March 25, 2020, pursuant to the terms of the Merger Agreement. All such shares continue to vest in one-third increments on each of the second, third and fourth anniversaries of their original date of grant, as applicable.

F1 · price: Pursuant to the terms of the Agreement and Plan of Merger, dated as of June 9, 2019, as amended by Amendment No. 1 to the Agreement and Plan of Merger, dated as of March 9, 2020, by and between United Technologies Corporation ("UTC") and Raytheon Company ("Raytheon") (the "Merger Agreement"), on April 3, 2020 (the "Closing Date"), Raytheon became a wholly owned subsidiary of UTC, with UTC becoming Raytheon Technologies Corporation. Pursuant to the Merger Agreement, on the Closing Date, each share of Raytheon Common Stock held by the reporting person was converted automatically into 2.3348 shares of UTC Common Stock.

SEC source: 0000947871-20-000337 · ownership.xml · derivative · entry 6

Kremer Wesley D · CIK 0001650273 · President, RMD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,489

Underlying: Common Stock · 16,024 shares

Expires not disclosed

F6 · derivative.exercise_price: Represents RTX RSUs that, pursuant to the terms of the Merger Agreement, were converted from Raytheon performance-based vesting restricted stock units granted on January 29, 2020 under the 2020-2022 LTPP. These RSUs will vest in full at the end of the original LTPP 3-year performance cycle.

F6 · price: Represents RTX RSUs that, pursuant to the terms of the Merger Agreement, were converted from Raytheon performance-based vesting restricted stock units granted on January 29, 2020 under the 2020-2022 LTPP. These RSUs will vest in full at the end of the original LTPP 3-year performance cycle.

F6 · derivative.exercise_date: Represents RTX RSUs that, pursuant to the terms of the Merger Agreement, were converted from Raytheon performance-based vesting restricted stock units granted on January 29, 2020 under the 2020-2022 LTPP. These RSUs will vest in full at the end of the original LTPP 3-year performance cycle.

F6 · derivative.expiration_date: Represents RTX RSUs that, pursuant to the terms of the Merger Agreement, were converted from Raytheon performance-based vesting restricted stock units granted on January 29, 2020 under the 2020-2022 LTPP. These RSUs will vest in full at the end of the original LTPP 3-year performance cycle.

SEC source: 0000947871-20-000337 · ownership.xml · derivative · entry 5

Kremer Wesley D · CIK 0001650273 · President, RMD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,465

Underlying: Common Stock · 24,336 shares

Expires not disclosed

F5 · derivative.exercise_price: Represents RTX RSUs that, pursuant to the terms of the Merger Agreement, were converted from Raytheon performance-based vesting restricted stock units granted on January 30, 2019 under the 2019-2021 LTPP. These RSUs will vest in full at the end of the original LTPP 3-year performance cycle.

F5 · price: Represents RTX RSUs that, pursuant to the terms of the Merger Agreement, were converted from Raytheon performance-based vesting restricted stock units granted on January 30, 2019 under the 2019-2021 LTPP. These RSUs will vest in full at the end of the original LTPP 3-year performance cycle.

F5 · derivative.exercise_date: Represents RTX RSUs that, pursuant to the terms of the Merger Agreement, were converted from Raytheon performance-based vesting restricted stock units granted on January 30, 2019 under the 2019-2021 LTPP. These RSUs will vest in full at the end of the original LTPP 3-year performance cycle.

F5 · derivative.expiration_date: Represents RTX RSUs that, pursuant to the terms of the Merger Agreement, were converted from Raytheon performance-based vesting restricted stock units granted on January 30, 2019 under the 2019-2021 LTPP. These RSUs will vest in full at the end of the original LTPP 3-year performance cycle.

SEC source: 0000947871-20-000337 · ownership.xml · derivative · entry 4

Kremer Wesley D · CIK 0001650273 · President, RMD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,129

Underlying: Common Stock · 23,129 shares

Expires not disclosed

F4 · derivative.exercise_price: Represents RTX restricted stock units ("RSUs") that, pursuant to the terms of the Merger Agreement, were converted from Raytheon performance-based vesting restricted stock units granted on January 24, 2018 under the 2018-2020 Long-Term Performance Plan ("LTPP"). These RSUs will vest in full at the end of the original LTPP 3-year performance cycle.

F4 · price: Represents RTX restricted stock units ("RSUs") that, pursuant to the terms of the Merger Agreement, were converted from Raytheon performance-based vesting restricted stock units granted on January 24, 2018 under the 2018-2020 Long-Term Performance Plan ("LTPP"). These RSUs will vest in full at the end of the original LTPP 3-year performance cycle.

F4 · derivative.exercise_date: Represents RTX restricted stock units ("RSUs") that, pursuant to the terms of the Merger Agreement, were converted from Raytheon performance-based vesting restricted stock units granted on January 24, 2018 under the 2018-2020 Long-Term Performance Plan ("LTPP"). These RSUs will vest in full at the end of the original LTPP 3-year performance cycle.

F4 · derivative.expiration_date: Represents RTX restricted stock units ("RSUs") that, pursuant to the terms of the Merger Agreement, were converted from Raytheon performance-based vesting restricted stock units granted on January 24, 2018 under the 2018-2020 Long-Term Performance Plan ("LTPP"). These RSUs will vest in full at the end of the original LTPP 3-year performance cycle.

SEC source: 0000947871-20-000337 · ownership.xml · nonDerivative · entry 3

Kremer Wesley D · CIK 0001650273 · President, RMD

10b5-1 filing: Not disclosed

Ownership: Indirect · Benefit Plan

Disclosed balance after: 5,431

F1 · security: Pursuant to the terms of the Agreement and Plan of Merger, dated as of June 9, 2019, as amended by Amendment No. 1 to the Agreement and Plan of Merger, dated as of March 9, 2020, by and between United Technologies Corporation ("UTC") and Raytheon Company ("Raytheon") (the "Merger Agreement"), on April 3, 2020 (the "Closing Date"), Raytheon became a wholly owned subsidiary of UTC, with UTC becoming Raytheon Technologies Corporation. Pursuant to the Merger Agreement, on the Closing Date, each share of Raytheon Common Stock held by the reporting person was converted automatically into 2.3348 shares of UTC Common Stock.

F1 · price: Pursuant to the terms of the Agreement and Plan of Merger, dated as of June 9, 2019, as amended by Amendment No. 1 to the Agreement and Plan of Merger, dated as of March 9, 2020, by and between United Technologies Corporation ("UTC") and Raytheon Company ("Raytheon") (the "Merger Agreement"), on April 3, 2020 (the "Closing Date"), Raytheon became a wholly owned subsidiary of UTC, with UTC becoming Raytheon Technologies Corporation. Pursuant to the Merger Agreement, on the Closing Date, each share of Raytheon Common Stock held by the reporting person was converted automatically into 2.3348 shares of UTC Common Stock.

F3 · ownership.nature: The Reporting Person indirectly beneficially owns 5,431 shares of RTX Common Stock based on funds in the Reporting Person's employee benefit plan account.

SEC source: 0000947871-20-000337 · ownership.xml · nonDerivative · entry 2

Kremer Wesley D · CIK 0001650273 · President, RMD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,028

SEC source: 0000947871-20-000337 · ownership.xml · nonDerivative · entry 1

Kremer Wesley D · CIK 0001650273 · President, RMD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,641

F1 · security: Pursuant to the terms of the Agreement and Plan of Merger, dated as of June 9, 2019, as amended by Amendment No. 1 to the Agreement and Plan of Merger, dated as of March 9, 2020, by and between United Technologies Corporation ("UTC") and Raytheon Company ("Raytheon") (the "Merger Agreement"), on April 3, 2020 (the "Closing Date"), Raytheon became a wholly owned subsidiary of UTC, with UTC becoming Raytheon Technologies Corporation. Pursuant to the Merger Agreement, on the Closing Date, each share of Raytheon Common Stock held by the reporting person was converted automatically into 2.3348 shares of UTC Common Stock.

F2 · shares: Includes (1) 9,479 restricted shares of RTX Common Stock that were converted from restricted shares of Raytheon Common Stock granted on March 21, 2018, (2) 13,488 restricted shares of RTX Common Stock that were converted from restricted shares of Raytheon Common Stock granted on March 20, 2019, and (3) 16,771 restricted shares of RTX Common Stock that were converted from restricted shares of Raytheon Common Stock granted on March 25, 2020, pursuant to the terms of the Merger Agreement. All such shares continue to vest in one-third increments on each of the second, third and fourth anniversaries of their original date of grant, as applicable.

F1 · price: Pursuant to the terms of the Agreement and Plan of Merger, dated as of June 9, 2019, as amended by Amendment No. 1 to the Agreement and Plan of Merger, dated as of March 9, 2020, by and between United Technologies Corporation ("UTC") and Raytheon Company ("Raytheon") (the "Merger Agreement"), on April 3, 2020 (the "Closing Date"), Raytheon became a wholly owned subsidiary of UTC, with UTC becoming Raytheon Technologies Corporation. Pursuant to the Merger Agreement, on the Closing Date, each share of Raytheon Common Stock held by the reporting person was converted automatically into 2.3348 shares of UTC Common Stock.

SEC source: 0000947871-20-000339 · ownership.xml · derivative · entry 5

DaSilva Kevin G · CIK 0001399738 · Corporate VP and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,929

Underlying: Common Stock · 4,469 shares

Expires not disclosed

F5 · derivative.exercise_price: Represents RTX RSUs that, pursuant to the terms of the Merger Agreement, were converted from Raytheon performance-based vesting restricted stock units granted on January 29, 2020 under the 2020-2022 LTPP. These RSUs will vest in full at the end of the original LTPP 3-year performance cycle.

F5 · price: Represents RTX RSUs that, pursuant to the terms of the Merger Agreement, were converted from Raytheon performance-based vesting restricted stock units granted on January 29, 2020 under the 2020-2022 LTPP. These RSUs will vest in full at the end of the original LTPP 3-year performance cycle.

F5 · derivative.exercise_date: Represents RTX RSUs that, pursuant to the terms of the Merger Agreement, were converted from Raytheon performance-based vesting restricted stock units granted on January 29, 2020 under the 2020-2022 LTPP. These RSUs will vest in full at the end of the original LTPP 3-year performance cycle.

F5 · derivative.expiration_date: Represents RTX RSUs that, pursuant to the terms of the Merger Agreement, were converted from Raytheon performance-based vesting restricted stock units granted on January 29, 2020 under the 2020-2022 LTPP. These RSUs will vest in full at the end of the original LTPP 3-year performance cycle.

SEC source: 0000947871-20-000339 · ownership.xml · derivative · entry 4

DaSilva Kevin G · CIK 0001399738 · Corporate VP and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,460

Underlying: Common Stock · 6,787 shares

Expires not disclosed

F4 · derivative.exercise_price: Represents RTX RSUs that, pursuant to the terms of the Merger Agreement, were converted from Raytheon performance-based vesting restricted stock units granted on January 30, 2019 under the 2019-2021 LTPP. These RSUs will vest in full at the end of the original LTPP 3-year performance cycle.

F4 · price: Represents RTX RSUs that, pursuant to the terms of the Merger Agreement, were converted from Raytheon performance-based vesting restricted stock units granted on January 30, 2019 under the 2019-2021 LTPP. These RSUs will vest in full at the end of the original LTPP 3-year performance cycle.

F4 · derivative.exercise_date: Represents RTX RSUs that, pursuant to the terms of the Merger Agreement, were converted from Raytheon performance-based vesting restricted stock units granted on January 30, 2019 under the 2019-2021 LTPP. These RSUs will vest in full at the end of the original LTPP 3-year performance cycle.

F4 · derivative.expiration_date: Represents RTX RSUs that, pursuant to the terms of the Merger Agreement, were converted from Raytheon performance-based vesting restricted stock units granted on January 30, 2019 under the 2019-2021 LTPP. These RSUs will vest in full at the end of the original LTPP 3-year performance cycle.

SEC source: 0000947871-20-000339 · ownership.xml · derivative · entry 3

DaSilva Kevin G · CIK 0001399738 · Corporate VP and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,673

Underlying: Common Stock · 6,673 shares

Expires not disclosed

F3 · derivative.exercise_price: Represents RTX restricted stock units ("RSUs") that, pursuant to the terms of the Merger Agreement, were converted from Raytheon performance-based vesting restricted stock units granted on January 24, 2018 under the 2018-2020 Long-Term Performance Plan ("LTPP"). These RSUs will vest in full at the end of the original LTPP 3-year performance cycle.

F3 · price: Represents RTX restricted stock units ("RSUs") that, pursuant to the terms of the Merger Agreement, were converted from Raytheon performance-based vesting restricted stock units granted on January 24, 2018 under the 2018-2020 Long-Term Performance Plan ("LTPP"). These RSUs will vest in full at the end of the original LTPP 3-year performance cycle.

F3 · derivative.exercise_date: Represents RTX restricted stock units ("RSUs") that, pursuant to the terms of the Merger Agreement, were converted from Raytheon performance-based vesting restricted stock units granted on January 24, 2018 under the 2018-2020 Long-Term Performance Plan ("LTPP"). These RSUs will vest in full at the end of the original LTPP 3-year performance cycle.

F3 · derivative.expiration_date: Represents RTX restricted stock units ("RSUs") that, pursuant to the terms of the Merger Agreement, were converted from Raytheon performance-based vesting restricted stock units granted on January 24, 2018 under the 2018-2020 Long-Term Performance Plan ("LTPP"). These RSUs will vest in full at the end of the original LTPP 3-year performance cycle.

SEC source: 0000947871-20-000339 · ownership.xml · nonDerivative · entry 2

DaSilva Kevin G · CIK 0001399738 · Corporate VP and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,585

SEC source: 0000947871-20-000339 · ownership.xml · nonDerivative · entry 1

DaSilva Kevin G · CIK 0001399738 · Corporate VP and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,381

F1 · security: Pursuant to the terms of the Agreement and Plan of Merger, dated as of June 9, 2019, as amended by Amendment No. 1 to the Agreement and Plan of Merger, dated as of March 9, 2020, by and between United Technologies Corporation ("UTC") and Raytheon Company ("Raytheon") (the "Merger Agreement"), on April 3, 2020 (the "Closing Date"), Raytheon became a wholly owned subsidiary of UTC, with UTC becoming Raytheon Technologies Corporation. Pursuant to the Merger Agreement, on the Closing Date, each share of Raytheon Common Stock held by the reporting person was converted automatically into 2.3348 shares of UTC Common Stock.

F2 · shares: Includes (1) 2,552 restricted shares of RTX Common Stock that were converted from restricted shares of Raytheon Common Stock granted on March 21, 2018, (2) 3,761 restricted shares of RTX Common Stock that were converted from restricted shares of Raytheon Common Stock granted on March 20, 2019, and (3) 4,677 restricted shares of RTX Common Stock that were converted from restricted shares of Raytheon Common Stock granted on March 25, 2020, pursuant to the terms of the Merger Agreement. All such shares continue to vest in one-third increments on each of the second, third and fourth anniversaries of their original date of grant, as applicable.

F1 · price: Pursuant to the terms of the Agreement and Plan of Merger, dated as of June 9, 2019, as amended by Amendment No. 1 to the Agreement and Plan of Merger, dated as of March 9, 2020, by and between United Technologies Corporation ("UTC") and Raytheon Company ("Raytheon") (the "Merger Agreement"), on April 3, 2020 (the "Closing Date"), Raytheon became a wholly owned subsidiary of UTC, with UTC becoming Raytheon Technologies Corporation. Pursuant to the Merger Agreement, on the Closing Date, each share of Raytheon Common Stock held by the reporting person was converted automatically into 2.3348 shares of UTC Common Stock.

SEC source: 0000947871-20-000340 · ownership.xml · nonDerivative · entry 2

Paliwal Dinesh C · CIK 0001360224 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Benefit Plan

Disclosed balance after: 340

F1 · security: Pursuant to the terms of the Agreement and Plan of Merger, dated as of June 9, 2019, as amended by Amendment No. 1 to the Agreement and Plan of Merger, dated as of March 9, 2020, by and between United Technologies Corporation ("UTC") and Raytheon Company ("Raytheon") (the "Merger Agreement"), on April 3, 2020 (the "Closing Date"), Raytheon became a wholly owned subsidiary of UTC, with UTC becoming Raytheon Technologies Corporation. Pursuant to the Merger Agreement, on the Closing Date, each share of Raytheon Common Stock held by the reporting person was converted automatically into 2.3348 shares of UTC Common Stock.

F1 · price: Pursuant to the terms of the Agreement and Plan of Merger, dated as of June 9, 2019, as amended by Amendment No. 1 to the Agreement and Plan of Merger, dated as of March 9, 2020, by and between United Technologies Corporation ("UTC") and Raytheon Company ("Raytheon") (the "Merger Agreement"), on April 3, 2020 (the "Closing Date"), Raytheon became a wholly owned subsidiary of UTC, with UTC becoming Raytheon Technologies Corporation. Pursuant to the Merger Agreement, on the Closing Date, each share of Raytheon Common Stock held by the reporting person was converted automatically into 2.3348 shares of UTC Common Stock.

F2 · ownership.nature: Represents shares of RTX Common Stock in the Reporting Person's benefit plan account.

SEC source: 0000947871-20-000340 · ownership.xml · nonDerivative · entry 1

Paliwal Dinesh C · CIK 0001360224 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,261

F1 · security: Pursuant to the terms of the Agreement and Plan of Merger, dated as of June 9, 2019, as amended by Amendment No. 1 to the Agreement and Plan of Merger, dated as of March 9, 2020, by and between United Technologies Corporation ("UTC") and Raytheon Company ("Raytheon") (the "Merger Agreement"), on April 3, 2020 (the "Closing Date"), Raytheon became a wholly owned subsidiary of UTC, with UTC becoming Raytheon Technologies Corporation. Pursuant to the Merger Agreement, on the Closing Date, each share of Raytheon Common Stock held by the reporting person was converted automatically into 2.3348 shares of UTC Common Stock.

F1 · price: Pursuant to the terms of the Agreement and Plan of Merger, dated as of June 9, 2019, as amended by Amendment No. 1 to the Agreement and Plan of Merger, dated as of March 9, 2020, by and between United Technologies Corporation ("UTC") and Raytheon Company ("Raytheon") (the "Merger Agreement"), on April 3, 2020 (the "Closing Date"), Raytheon became a wholly owned subsidiary of UTC, with UTC becoming Raytheon Technologies Corporation. Pursuant to the Merger Agreement, on the Closing Date, each share of Raytheon Common Stock held by the reporting person was converted automatically into 2.3348 shares of UTC Common Stock.

SEC source: 0000947871-20-000341 · ownership.xml · nonDerivative · entry 1

Work Robert O · CIK 0001714048 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,968

F1 · security: Pursuant to the terms of the Agreement and Plan of Merger, dated as of June 9, 2019, as amended by Amendment No. 1 to the Agreement and Plan of Merger, dated as of March 9, 2020, by and between United Technologies Corporation ("UTC") and Raytheon Company ("Raytheon") (the "Merger Agreement"), on April 3, 2020 (the "Closing Date"), Raytheon became a wholly owned subsidiary of UTC, with UTC becoming Raytheon Technologies Corporation. Pursuant to the Merger Agreement, on the Closing Date, each share of Raytheon Common Stock held by the reporting person was converted automatically into 2.3348 shares of UTC Common Stock.

F1 · price: Pursuant to the terms of the Agreement and Plan of Merger, dated as of June 9, 2019, as amended by Amendment No. 1 to the Agreement and Plan of Merger, dated as of March 9, 2020, by and between United Technologies Corporation ("UTC") and Raytheon Company ("Raytheon") (the "Merger Agreement"), on April 3, 2020 (the "Closing Date"), Raytheon became a wholly owned subsidiary of UTC, with UTC becoming Raytheon Technologies Corporation. Pursuant to the Merger Agreement, on the Closing Date, each share of Raytheon Common Stock held by the reporting person was converted automatically into 2.3348 shares of UTC Common Stock.

SEC source: 0000947871-20-000342 · ownership.xml · nonDerivative · entry 1

Winnefeld James A Jr · CIK 0001695566 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,953

F1 · security: Pursuant to the terms of the Agreement and Plan of Merger, dated as of June 9, 2019, as amended by Amendment No. 1 to the Agreement and Plan of Merger, dated as of March 9, 2020, by and between United Technologies Corporation ("UTC") and Raytheon Company ("Raytheon") (the "Merger Agreement"), on April 3, 2020 (the "Closing Date"), Raytheon became a wholly owned subsidiary of UTC, with UTC becoming Raytheon Technologies Corporation. Pursuant to the Merger Agreement, on the Closing Date, each share of Raytheon Common Stock held by the reporting person was converted automatically into 2.3348 shares of UTC Common Stock.

F1 · price: Pursuant to the terms of the Agreement and Plan of Merger, dated as of June 9, 2019, as amended by Amendment No. 1 to the Agreement and Plan of Merger, dated as of March 9, 2020, by and between United Technologies Corporation ("UTC") and Raytheon Company ("Raytheon") (the "Merger Agreement"), on April 3, 2020 (the "Closing Date"), Raytheon became a wholly owned subsidiary of UTC, with UTC becoming Raytheon Technologies Corporation. Pursuant to the Merger Agreement, on the Closing Date, each share of Raytheon Common Stock held by the reporting person was converted automatically into 2.3348 shares of UTC Common Stock.

SEC source: 0000947871-20-000343 · ownership.xml · nonDerivative · entry 1

Pawlikowski Ellen M · CIK 0001751642 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,198

F1 · security: Pursuant to the terms of the Agreement and Plan of Merger, dated as of June 9, 2019, as amended by Amendment No. 1 to the Agreement and Plan of Merger, dated as of March 9, 2020, by and between United Technologies Corporation ("UTC") and Raytheon Company ("Raytheon") (the "Merger Agreement"), on April 3, 2020 (the "Closing Date"), Raytheon became a wholly owned subsidiary of UTC, with UTC becoming Raytheon Technologies Corporation. Pursuant to the Merger Agreement, on the Closing Date, each share of Raytheon Common Stock held by the reporting person was converted automatically into 2.3348 shares of UTC Common Stock.

F1 · price: Pursuant to the terms of the Agreement and Plan of Merger, dated as of June 9, 2019, as amended by Amendment No. 1 to the Agreement and Plan of Merger, dated as of March 9, 2020, by and between United Technologies Corporation ("UTC") and Raytheon Company ("Raytheon") (the "Merger Agreement"), on April 3, 2020 (the "Closing Date"), Raytheon became a wholly owned subsidiary of UTC, with UTC becoming Raytheon Technologies Corporation. Pursuant to the Merger Agreement, on the Closing Date, each share of Raytheon Common Stock held by the reporting person was converted automatically into 2.3348 shares of UTC Common Stock.

SEC source: 0000947871-20-000344 · ownership.xml · nonDerivative · entry 1

Oliver George · CIK 0001403297 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,266

F1 · security: Pursuant to the terms of the Agreement and Plan of Merger, dated as of June 9, 2019, as amended by Amendment No. 1 to the Agreement and Plan of Merger, dated as of March 9, 2020, by and between United Technologies Corporation ("UTC") and Raytheon Company ("Raytheon") (the "Merger Agreement"), on April 3, 2020 (the "Closing Date"), Raytheon became a wholly owned subsidiary of UTC, with UTC becoming Raytheon Technologies Corporation. Pursuant to the Merger Agreement, on the Closing Date, each share of Raytheon Common Stock held by the reporting person was converted automatically into 2.3348 shares of UTC Common Stock.

F1 · price: Pursuant to the terms of the Agreement and Plan of Merger, dated as of June 9, 2019, as amended by Amendment No. 1 to the Agreement and Plan of Merger, dated as of March 9, 2020, by and between United Technologies Corporation ("UTC") and Raytheon Company ("Raytheon") (the "Merger Agreement"), on April 3, 2020 (the "Closing Date"), Raytheon became a wholly owned subsidiary of UTC, with UTC becoming Raytheon Technologies Corporation. Pursuant to the Merger Agreement, on the Closing Date, each share of Raytheon Common Stock held by the reporting person was converted automatically into 2.3348 shares of UTC Common Stock.

SEC source: 0000947871-20-000345 · ownership.xml · nonDerivative · entry 1

Atkinson Tracy A · CIK 0001338351 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,220

F1 · security: Pursuant to the terms of the Agreement and Plan of Merger, dated as of June 9, 2019, as amended by Amendment No. 1 to the Agreement and Plan of Merger, dated as of March 9, 2020, by and between United Technologies Corporation ("UTC") and Raytheon Company ("Raytheon") (the "Merger Agreement"), on April 3, 2020 (the "Closing Date"), Raytheon became a wholly owned subsidiary of UTC, with UTC becoming Raytheon Technologies Corporation. Pursuant to the Merger Agreement, on the Closing Date, each share of Raytheon Common Stock held by the reporting person was converted automatically into 2.3348 shares of UTC Common Stock.

F1 · price: Pursuant to the terms of the Agreement and Plan of Merger, dated as of June 9, 2019, as amended by Amendment No. 1 to the Agreement and Plan of Merger, dated as of March 9, 2020, by and between United Technologies Corporation ("UTC") and Raytheon Company ("Raytheon") (the "Merger Agreement"), on April 3, 2020 (the "Closing Date"), Raytheon became a wholly owned subsidiary of UTC, with UTC becoming Raytheon Technologies Corporation. Pursuant to the Merger Agreement, on the Closing Date, each share of Raytheon Common Stock held by the reporting person was converted automatically into 2.3348 shares of UTC Common Stock.

SEC source: 0001225208-20-012337 · doc4.xml · nonDerivative · entry 2

HAYES GREGORY · CIK 0001225946 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Children's Trust Accounts

Disclosed balance after: 1,096

F1 · price: Pursuant to the terms of the Agreement and Plan of Merger, dated as of June 9, 2019, as amended by Amendment No. 1 to the Agreement and Plan of Merger, dated as of March 9, 2020, by and between United Technologies Corporation ("UTC") and Raytheon Company ("Raytheon") (the "Merger Agreement"), on April 3, 2020 (the "Closing Date"), Raytheon became a wholly owned subsidiary of UTC, with UTC becoming Raytheon Technologies Corporation. Pursuant to the Merger Agreement, on the Closing Date, each share of Raytheon Common Stock held by the reporting person was converted automatically into 2.3348 shares of UTC Common Stock.

SEC source: 0001225208-20-012337 · doc4.xml · nonDerivative · entry 1

HAYES GREGORY · CIK 0001225946 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,365

F1 · price: Pursuant to the terms of the Agreement and Plan of Merger, dated as of June 9, 2019, as amended by Amendment No. 1 to the Agreement and Plan of Merger, dated as of March 9, 2020, by and between United Technologies Corporation ("UTC") and Raytheon Company ("Raytheon") (the "Merger Agreement"), on April 3, 2020 (the "Closing Date"), Raytheon became a wholly owned subsidiary of UTC, with UTC becoming Raytheon Technologies Corporation. Pursuant to the Merger Agreement, on the Closing Date, each share of Raytheon Common Stock held by the reporting person was converted automatically into 2.3348 shares of UTC Common Stock.

SEC source: 0000101829-20-000074 · primary_doc.xml · nonDerivative · entry 1

Winnefeld James A Jr · CIK 0001695566 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,593

F1 · shares: Due to a clerical error, the Form 4 filed on April 8, 2020 reported the number of shares of RTX common stock acquired by the reporting person as 6,953, when the actual number acquired was 6,593. This amendment is being filed to correct the number of acquired shares previously reported.

F2 · price: Pursuant to the terms of the Agreement and Plan of Merger, dated as of June 9, 2019, as amended by Amendment No. 1 to the Agreement and Plan of Merger, dated as of March 9, 2020, by and between United Technologies Corporation ("UTC") and Raytheon Company ("Raytheon") (the "Merger Agreement"), on April 3, 2020 (the "Closing Date"), Raytheon became a wholly owned subsidiary of UTC, with UTC becoming Raytheon Technologies Corporation. Pursuant to the Merger Agreement, on the Closing Date, each share of Raytheon Common Stock held by the reporting person was converted automatically into 2.3348 shares of UTC Common Stock.

F1 · balance_after: Due to a clerical error, the Form 4 filed on April 8, 2020 reported the number of shares of RTX common stock acquired by the reporting person as 6,953, when the actual number acquired was 6,593. This amendment is being filed to correct the number of acquired shares previously reported.

SEC source: 0001225208-20-004425 · doc4.xml · nonDerivative · entry 1

Amato Elizabeth B · CIK 0001555745 · EVP & Chief HR Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,886.7824

SEC source: 0001225208-20-003263 · doc4.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,530

Underlying: Common Stock · 6,530 shares

Expires not disclosed

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

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

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

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

SEC source: 0001225208-20-002629 · doc4.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,000

Underlying: Common Stock · 59,000 shares

Expires 2030-02-13

SEC source: 0001225208-20-002629 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,600

Underlying: Common Stock · 10,600 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 UTC Common Stock.

F1 · price: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of UTC Common Stock.

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 UTC Common Stock.

SEC source: 0001225208-20-002373 · doc4.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 19,956 shares

Expires 2022-07-31

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.

SEC source: 0001225208-20-002373 · doc4.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,664

F2 · price: The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $154.3203 to $154.3375 per share. The reporting person has provided to the issuer, and undertakes to provide to the Commission staff or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price within the range.

SEC source: 0001225208-20-002373 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,951

SEC source: 0001225208-20-002373 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,620

SEC source: 0001225208-20-002373 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,973

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: The Stock Appreciation Rights (SARs) were settled in shares in accordance with terms of the award. For Section 16 reporting purposes, the exercise of SARs for stock is treated as an exempt acquisition of the shares underlying the SARs at the exercise price per share specified in the award of SARs and a simultaneous sale back to the issuer of a number of the underlying shares having a value, based on the market price of the issuer's stock on the date of the exercise, equal to the product of the number of underlying SARs times the exercise price per share.

SEC source: 0001225208-20-002374 · doc4.xml · derivative · entry 12

HAYES GREGORY · CIK 0001225946 · Director · Chairman, President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 107,000 shares

Expires 2023-01-01

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.

SEC source: 0001225208-20-002374 · doc4.xml · nonDerivative · entry 7

HAYES GREGORY · CIK 0001225946 · Director · Chairman, President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 198,031

SEC source: 0001225208-20-002374 · doc4.xml · nonDerivative · entry 6

HAYES GREGORY · CIK 0001225946 · Director · Chairman, President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 256,205

F6 · price: The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $154.25 to $154.60 per share. The reporting person has provided to the issuer, and undertakes to provide to the Commission staff or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price within the range.

SEC source: 0001225208-20-002374 · doc4.xml · nonDerivative · entry 5

HAYES GREGORY · CIK 0001225946 · Director · Chairman, President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 305,031

F5 · price: The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $154.30 to $154.33 per share. The reporting person has provided to the issuer, and undertakes to provide to the Commission staff or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price within the range.

SEC source: 0001225208-20-002374 · doc4.xml · nonDerivative · entry 4

HAYES GREGORY · CIK 0001225946 · Director · Chairman, President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 318,275

F4 · price: The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $154.50 to $154.51 per share. The reporting person has provided to the issuer, and undertakes to provide to the Commission staff or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price within the range.

SEC source: 0001225208-20-002374 · doc4.xml · nonDerivative · entry 3

HAYES GREGORY · CIK 0001225946 · Director · Chairman, President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 329,121

F3 · price: The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $154.30 to $154.31 per share. The reporting person has provided to the issuer, and undertakes to provide to the Commission staff or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price within the range.