DaSilva Kevin G

SEC source: 0001225208-22-002615 · doc4.xml · derivative · entry 1

DaSilva Kevin G · CIK 0001399738 · Corporate VP and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,318

Underlying: Common Stock · 3,195 shares

Expires not disclosed

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

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

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

SEC source: 0001225208-22-001233 · doc4.xml · nonDerivative · entry 2

DaSilva Kevin G · CIK 0001399738 · Corporate VP and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,202

SEC source: 0001225208-22-001233 · doc4.xml · derivative · entry 3

DaSilva Kevin G · CIK 0001399738 · Corporate VP and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,123

Underlying: Common Stock · 6,787 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 30, 2019 under the 2019-2021 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 30, 2019 under the 2019-2021 Long-Term Performance Plan.

SEC source: 0001225208-22-001233 · doc4.xml · nonDerivative · entry 1

DaSilva Kevin G · CIK 0001399738 · Corporate VP and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,252

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: 0001225208-21-005819 · doc4.xml · nonDerivative · entry 2

DaSilva Kevin G · CIK 0001399738 · Corporate VP and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,465

SEC source: 0001225208-21-005819 · doc4.xml · nonDerivative · entry 1

DaSilva Kevin G · CIK 0001399738 · Corporate VP and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,840

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

DaSilva Kevin G · CIK 0001399738 · Corporate VP and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,100

Underlying: Common Stock · 10,100 shares

Expires 2031-02-07

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

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

DaSilva Kevin G · CIK 0001399738 · Corporate VP and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,776

Underlying: Common Stock · 5,520 shares

Expires not disclosed

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

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

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

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

DaSilva Kevin G · CIK 0001399738 · Corporate VP and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,208

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

DaSilva Kevin G · CIK 0001399738 · Corporate VP and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,256

Underlying: Common Stock · 6,673 shares

Expires not disclosed

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

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

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

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

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

DaSilva Kevin G · CIK 0001399738 · Corporate VP and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,258

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

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

SEC source: 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.