Caret Leanne G

SEC source: 0001225208-26-004873 · doc4.xml · derivative · entry 1

Caret Leanne G · CIK 0001668346 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,736.9353

Underlying: Common Stock · 1,311.9782 shares

Expires not disclosed

F1 · derivative.exercise_price: The reporting person acquired these stock units under the RTX Corporation Board of Directors Deferred Stock Unit Plan (the "Plan") in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

F1 · derivative.exercise_date: The reporting person acquired these stock units under the RTX Corporation Board of Directors Deferred Stock Unit Plan (the "Plan") in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

F1 · derivative.expiration_date: The reporting person acquired these stock units under the RTX Corporation Board of Directors Deferred Stock Unit Plan (the "Plan") in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

SEC source: 0001668346-26-000002 · form4-03052026_080333.xml · nonDerivative · entry 1

Caret Leanne G · CIK 0001668346 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,090

F1 · security: Grant of Restricted stock units under the Nonemployee Director Stock Ownership Plan of the Issuer. Units will be settled exclusively in shares.

F2 · balance_after: Includes 2,090 restricted stock units acquired under the Nonemployee Director Stock Ownership Plan of the Issuer. Restrictions are authorized by the Board of Directors. The Plan provides for tax withholding rights.

SEC source: 0001225208-25-004719 · doc4.xml · derivative · entry 1

Caret Leanne G · CIK 0001668346 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,304.9458

Underlying: Common Stock · 1,813.0445 shares

Expires not disclosed

F1 · derivative.exercise_price: The reporting person acquired these stock units under the RTX Corporation Board of Directors Deferred Stock Unit Plan (the "Plan") in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

F1 · derivative.exercise_date: The reporting person acquired these stock units under the RTX Corporation Board of Directors Deferred Stock Unit Plan (the "Plan") in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

F1 · derivative.expiration_date: The reporting person acquired these stock units under the RTX Corporation Board of Directors Deferred Stock Unit Plan (the "Plan") in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

SEC source: 0001415889-25-007154 · form4-03062025_080358.xml · nonDerivative · entry 1

Caret Leanne G · CIK 0001668346 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,797

F1 · security: Grant of restricted stock units under the Nonemployee Director Stock Ownership Plan of the Issuer. Units will be settled exclusively in shares.

F2 · balance_after: Includes 1,797 restricted stock units acquired under the Nonemployee Director Stock Ownership Plan of the Issuer. Restrictions are authorized by the Board of Directors. The Plan provides for tax withholding rights.

SEC source: 0001225208-24-005686 · doc4.xml · derivative · entry 1

Caret Leanne G · CIK 0001668346 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,376.0507

Underlying: Common Stock · 2,149.3768 shares

Expires not disclosed

F1 · derivative.exercise_price: The reporting person acquired these stock units under the RTX Corporation Board of Directors Deferred Stock Unit Plan (the "Plan") in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

F1 · derivative.exercise_date: The reporting person acquired these stock units under the RTX Corporation Board of Directors Deferred Stock Unit Plan (the "Plan") in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

F1 · derivative.expiration_date: The reporting person acquired these stock units under the RTX Corporation Board of Directors Deferred Stock Unit Plan (the "Plan") in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

SEC source: 0000315189-24-000003 · primary_doc.xml · nonDerivative · entry 1

Caret Leanne G · CIK 0001668346 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,412

F1 · security: Grant of restricted stock units under the Nonemployee Director Stock Ownership Plan of the Issuer. Units will be settled exclusively in shares.

F2 · balance_after: Includes 1,412 restricted stock units acquired under the Nonemployee Director Stock Ownership Plan of the Issuer. Restrictions are authorized by the Board of Directors. The Plan provides for tax withholding rights.

SEC source: 0001225208-24-002495 · doc4.xml · derivative · entry 1

Caret Leanne G · CIK 0001668346 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,206.6028

Underlying: Common Stock · 130.7332 shares

Expires not disclosed

F1 · derivative.exercise_price: The reporting person acquired these stock units under the RTX Corporation Board of Directors Deferred Stock Unit Plan (the "Plan") in connection with the reporting person's annual compensation for service as a non-employee director and related to her designation as Chair of the Audit Committee in February 2024. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

F1 · derivative.exercise_date: The reporting person acquired these stock units under the RTX Corporation Board of Directors Deferred Stock Unit Plan (the "Plan") in connection with the reporting person's annual compensation for service as a non-employee director and related to her designation as Chair of the Audit Committee in February 2024. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

F1 · derivative.expiration_date: The reporting person acquired these stock units under the RTX Corporation Board of Directors Deferred Stock Unit Plan (the "Plan") in connection with the reporting person's annual compensation for service as a non-employee director and related to her designation as Chair of the Audit Committee in February 2024. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

SEC source: 0001225208-23-005414 · doc4.xml · derivative · entry 1

Caret Leanne G · CIK 0001668346 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,014.4932

Underlying: Common Stock · 1,972.2868 shares

Expires not disclosed

F1 · derivative.exercise_price: The reporting person acquired these stock units under the Raytheon Technologies Corporation Board of Directors Deferred Stock Unit Plan (the "Plan") in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

F1 · derivative.exercise_date: The reporting person acquired these stock units under the Raytheon Technologies Corporation Board of Directors Deferred Stock Unit Plan (the "Plan") in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

F1 · derivative.expiration_date: The reporting person acquired these stock units under the Raytheon Technologies Corporation Board of Directors Deferred Stock Unit Plan (the "Plan") in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

SEC source: 0000315189-23-000003 · primary_doc.xml · nonDerivative · entry 1

Caret Leanne G · CIK 0001668346 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 962

F1 · shares: Grant of restricted stock units under the Nonemployee Director Stock Ownership Plan of the Issuer. Units will be settled exclusively in shares.

F2 · balance_after: Includes 962 restricted stock units acquired under the Nonemployee Director Stock Ownership Plan of the Issuer. Restrictions are authorized by the Board of Directors. The Plan provides for tax withholding rights.

SEC source: 0001225208-23-000743 · doc4.xml · derivative · entry 1

Caret Leanne G · CIK 0001668346 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,036.2694

Underlying: Common Stock · 1,036.2694 shares

Expires not disclosed

F1 · derivative.exercise_price: The reporting person acquired these stock units under the Raytheon Technologies Corporation Board of Directors Deferred Stock Unit Plan (the "Plan") in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

F1 · derivative.exercise_date: The reporting person acquired these stock units under the Raytheon Technologies Corporation Board of Directors Deferred Stock Unit Plan (the "Plan") in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

F1 · derivative.expiration_date: The reporting person acquired these stock units under the Raytheon Technologies Corporation Board of Directors Deferred Stock Unit Plan (the "Plan") in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

SEC source: 0000315189-22-000002 · primary_doc.xml · nonDerivative · entry 1

Caret Leanne G · CIK 0001668346 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 569

F1 · shares: Grant of restricted stock units under the Nonemployee Director Stock Ownership Plan of the Issuer. Units will be settled exclusively in shares.

F2 · balance_after: Includes 569 restricted stock units acquired under the Nonemployee Director Stock Ownership Plan of the Issuer. Restrictions are authorized by the Board of Directors. The plan provides for tax withholding rights.

SEC source: 0001225208-22-003909 · doc4.xml · nonDerivative · entry 1

Caret Leanne G · CIK 0001668346 · EVP, Pres. & CEO, BDS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,292.164

F1 · shares: Shares withheld for payment of taxes on vesting of restricted stock units; not an open market transaction.

SEC source: 0001225208-22-003729 · doc4.xml · nonDerivative · entry 1

Caret Leanne G · CIK 0001668346 · EVP, Pres. & CEO, BDS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,939.164

F1 · shares: Shares withheld for payment of taxes on vesting of restricted stock units; not an open market transaction.

SEC source: 0001225208-22-002828 · doc4.xml · derivative · entry 3

Caret Leanne G · CIK 0001668346 · EVP, Pres. & CEO, BDS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,600

Underlying: Common Stock · 28,600 shares

Expires 2032-02-16

F2 · derivative.exercise_price: The exercise price is equal to 120% of the average of the high and the low trading prices on the date of the grant (the "Grant Date FMV"). The exercise price will be reduced to 110% of the Grant Date FMV if the issuer's total shareholder return ("TSR") over the three-year vesting period exceeds the median TSR for the peer group of companies listed in the award agreement.

F3 · derivative.exercise_date: The option becomes vested and exercisable in full on February 16, 2025, which is the third anniversary of the date of grant.

SEC source: 0001225208-22-002828 · doc4.xml · nonDerivative · entry 1

Caret Leanne G · CIK 0001668346 · EVP, Pres. & CEO, BDS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,570.164

F1 · shares: Represents restricted stock units that will vest and settle in shares of the Company's common stock on a one-for-one basis on February 17, 2025.

SEC source: 0000315189-21-000029 · primary_doc.xml · nonDerivative · entry 1

Caret Leanne G · CIK 0001668346 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 144

F1 · shares: Prorated grant of restricted stock units under the Nonemployee Director Stock Ownership Plan of the Issuer. Units will be settled exclusively in shares. Restrictions are as authorized by the Board of Directors. The plan provides for tax withholding rights.

SEC source: 0001225208-21-015149 · doc4.xml · nonDerivative · entry 1

Caret Leanne G · CIK 0001668346 · EVP, Pres. & CEO, BDS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,649.62

F1 · shares: Shares withheld for FICA tax for retirement eligible executive; not an open market transaction.

SEC source: 0001225208-21-004344 · doc4.xml · nonDerivative · entry 1

Caret Leanne G · CIK 0001668346 · EVP, Pres. & CEO, BDS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,755.34

F1 · shares: Shares withheld for payment of taxes on vesting of restricted stock units; not an open market transaction.

SEC source: 0001225208-21-003240 · doc4.xml · derivative · entry 3

Caret Leanne G · CIK 0001668346 · EVP, Pres. & CEO, BDS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,798

Underlying: Common Stock · 26,798 shares

Expires 2031-02-17

F2 · derivative.exercise_price: The exercise price is equal to 120% of the average of the high and low trading prices on the date of grant.

F3 · derivative.exercise_date: The option becomes vested and and exercisable in full on February 17, 2024, which is the third anniversary of the date of grant.

SEC source: 0001225208-21-003240 · doc4.xml · nonDerivative · entry 1

Caret Leanne G · CIK 0001668346 · EVP, Pres. & CEO, BDS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,420.29

F1 · shares: Represents restricted stock units that will vest and settle in shares of the Company's common stock on a one-for-one basis on February 19, 2024.

SEC source: 0001225208-20-014755 · doc4.xml · nonDerivative · entry 1

Caret Leanne G · CIK 0001668346 · EVP, Pres. & CEO, BDS

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 100

F1 · shares: Represents restricted stock units that will vest and settle in shares of the Company's common stock on a one-for-one basis on December 14, 2023.

SEC source: 0001225208-20-004788 · doc4.xml · nonDerivative · entry 1

Caret Leanne G · CIK 0001668346 · EVP, Pres. & CEO, BDS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,148.29

F1 · shares: Shares withheld for payment of taxes on vesting of restricted stock units and performance-based restricted stock units; not an open market transaction.

F2 · balance_after: Includes adjustments for dividends accrued.

SEC source: 0001225208-20-003947 · doc4.xml · nonDerivative · entry 1

Caret Leanne G · CIK 0001668346 · EVP, Pres. & CEO, BDS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,804.65

F1 · shares: Shares withheld for payment of taxes on vesting of restricted stock units; not an open market transaction.

SEC source: 0001225208-20-003507 · doc4.xml · nonDerivative · entry 3

Caret Leanne G · CIK 0001668346 · EVP, Pres. & CEO, BDS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,546.65

F3 · shares: Shares withheld for payment of taxes on vesting of restricted stock units; not an open market transaction.

F4 · balance_after: Includes adjustments for dividends accrued.

SEC source: 0001225208-20-003598 · doc4.xml · nonDerivative · entry 1

Caret Leanne G · CIK 0001668346 · EVP, Pres. & CEO, BDS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,438.65

F1 · shares: Represents restricted stock units that will vest and settle in shares of the Company's common stock on a one-for-one basis on February 24, 2023.

SEC source: 0001225208-20-003507 · doc4.xml · nonDerivative · entry 2

Caret Leanne G · CIK 0001668346 · EVP, Pres. & CEO, BDS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,381.71

F2 · shares: Shares withheld for payment of taxes on vesting of PBRSUs; not an open market transaction.

SEC source: 0001225208-20-003507 · doc4.xml · nonDerivative · entry 1

Caret Leanne G · CIK 0001668346 · EVP, Pres. & CEO, BDS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,615.21

F1 · shares: Represents shares earned in respect of performance-based restricted stock units (PBRSUs) awarded on February 27, 2017. The number of shares earned was determined based on the Company's total shareholder return over the three-year performance period relative to a group of peer companies.

SEC source: 0001225208-19-004664 · doc4.xml · nonDerivative · entry 1

Caret Leanne G · CIK 0001668346 · EVP, Pres. & CEO, BDS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,693.47

F1 · shares: Shares withheld for payment of taxes on vesting of restricted stock units and performance-based restricted stock units; not an open market transaction.

F2 · balance_after: Includes adjustments for dividends accrued.

SEC source: 0001225208-19-003869 · doc4.xml · nonDerivative · entry 1

Caret Leanne G · CIK 0001668346 · EVP, Pres. & CEO, BDS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,421.22

F1 · shares: Represents restricted stock units that will vest and settle in shares of the Company's common stock on a one-for-one basis on February 25, 2022.

SEC source: 0001225208-19-003802 · doc4.xml · nonDerivative · entry 3

Caret Leanne G · CIK 0001668346 · EVP, Pres. & CEO, BDS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,374.22

F4 · shares: Shares withheld for payment of taxes on vesting of PBRSUs; not an open market transaction.

SEC source: 0001225208-19-003802 · doc4.xml · nonDerivative · entry 2

Caret Leanne G · CIK 0001668346 · EVP, Pres. & CEO, BDS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,304.49

F3 · shares: Represents shares earned in respect of performance-based restricted stock units (PBRSUs) awarded on February 22, 2016. The number of shares earned was determined based on the Company's total shareholder return over the three-year performance period relative to a group of peer companies.

SEC source: 0001225208-19-003802 · doc4.xml · nonDerivative · entry 1

Caret Leanne G · CIK 0001668346 · EVP, Pres. & CEO, BDS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,026.22

F1 · shares: Shares withheld for payment of taxes on vesting of restricted stock units; not an open market transaction.

F2 · balance_after: Includes adjustments for dividends accrued.

SEC source: 0001225208-18-005449 · doc4.xml · nonDerivative · entry 1

Caret Leanne G · CIK 0001668346 · EVP, Pres. & CEO, BDS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,481.74

F1 · shares: Shares withheld for payment of taxes on dividends earned in respect of vesting of restricted stock units and performance-based restricted stock units; not an open market transaction.

F2 · balance_after: Includes adjustments for dividends accrued.

SEC source: 0001225208-18-004779 · doc4.xml · nonDerivative · entry 3

Caret Leanne G · CIK 0001668346 · EVP, Pres. & CEO, BDS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,284.92

F3 · shares: Shares withheld for payment of taxes on vesting of performance-based restricted stock units; not an open market transaction.

SEC source: 0001225208-18-004779 · doc4.xml · nonDerivative · entry 2

Caret Leanne G · CIK 0001668346 · EVP, Pres. & CEO, BDS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,178.36

F2 · shares: Represents shares earned in respect of performance-based restricted stock units (PBRSUs) awarded on February 23, 2015. The number of shares earned was determined based on the Company's total shareholder return over the three-year performance period relative to a group of peer companies.

SEC source: 0001225208-18-004779 · doc4.xml · nonDerivative · entry 1

Caret Leanne G · CIK 0001668346 · EVP, Pres. & CEO, BDS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,730.92

F1 · shares: Represents restricted stock units of which 2,118 units will vest on February 26, 2021 and 15,000 units will vest on February 26, 2022; units settle in shares of the Company's common stock on a one-for-one basis.

SEC source: 0001225208-18-004467 · doc4.xml · nonDerivative · entry 1

Caret Leanne G · CIK 0001668346 · EVP, Pres. & CEO, BDS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,612.92

F1 · shares: Shares withheld for payment of taxes on vesting of restricted stock units; not an open market transaction.

SEC source: 0001225208-18-002581 · doc5.xml · nonDerivative · entry 1

Caret Leanne G · CIK 0001668346 · EVP, Pres. & CEO, BDS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,033.92

F1 · balance_after: Includes adjustments for dividends accrued.

SEC source: 0001225208-17-009256 · doc4.xml · nonDerivative · entry 1

Caret Leanne G · CIK 0001668346 · EVP, Pres. & CEO, BDS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,709.62

SEC source: 0001225208-17-005813 · doc4.xml · nonDerivative · entry 1

Caret Leanne G · CIK 0001668346 · EVP, Pres. & CEO, BDS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,109.62

F1 · shares: Shares withheld for payment of taxes on vesting of restricted stock units and performance-based restricted stock units; not an open market transaction.

F2 · balance_after: Includes adjustments for dividends accrued.

SEC source: 0001225208-17-005136 · doc4.xml · nonDerivative · entry 3

Caret Leanne G · CIK 0001668346 · EVP, Pres. & CEO, BDS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,804.6

F3 · shares: Shares withheld for payment of taxes on vesting of PBRSUs; not an open market transaction.

SEC source: 0001225208-17-005136 · doc4.xml · nonDerivative · entry 2

Caret Leanne G · CIK 0001668346 · EVP, Pres. & CEO, BDS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,405.39

F2 · shares: Represents shares earned in respect of performance-based restricted stock units (PBRSUs) awarded on February 24, 2014. The number of shares earned was determined based on the Company's total shareholder return over the three-year performance period relative to a group of peer companies.

SEC source: 0001225208-17-005136 · doc4.xml · nonDerivative · entry 1

Caret Leanne G · CIK 0001668346 · EVP, Pres. & CEO, BDS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,153.6

F1 · shares: Represents restricted stock units that will vest and settle in shares of the Company's common stock on a one-for-one basis on February 27, 2020.

SEC source: 0001225208-17-005018 · doc4.xml · nonDerivative · entry 1

Caret Leanne G · CIK 0001668346 · EVP, Pres. & CEO, BDS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,743.6

F1 · shares: Shares withheld for payment of taxes on vesting of restricted stock units; not an open market transaction.

SEC source: 0001225208-16-041162 · doc4.xml · nonDerivative · entry 5

Caret Leanne G · CIK 0001668346 · EVP, Pres. & CEO, BDS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,573.39

SEC source: 0001225208-16-041162 · doc4.xml · derivative · entry 9

Caret Leanne G · CIK 0001668346 · EVP, Pres. & CEO, BDS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,766 shares

Expires 2022-02-27

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.

F5 · derivative.exercise_date: The option was fully vested on February 27, 2015.

SEC source: 0001225208-16-041162 · doc4.xml · derivative · entry 8

Caret Leanne G · CIK 0001668346 · EVP, Pres. & CEO, BDS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,269 shares

Expires 2023-02-25

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.

F4 · derivative.exercise_date: The option was fully vested on February 25, 2016.

SEC source: 0001225208-16-041162 · doc4.xml · derivative · entry 7

Caret Leanne G · CIK 0001668346 · EVP, Pres. & CEO, BDS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,310 shares

Expires 2021-02-22

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.

F3 · derivative.exercise_date: The option was fully vested on February 22, 2014.

SEC source: 0001225208-16-041162 · doc4.xml · nonDerivative · entry 4

Caret Leanne G · CIK 0001668346 · EVP, Pres. & CEO, BDS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,753.39

F2 · price: The price shown is a weighted average sale price for shares sold in multiple transactions; the sale prices ranged from $141.85 to $142.56 per share. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

SEC source: 0001225208-16-041162 · doc4.xml · nonDerivative · entry 3

Caret Leanne G · CIK 0001668346 · EVP, Pres. & CEO, BDS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,098.39

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.