Williams Dantaya M

SEC source: 0001225208-22-001639 · doc4.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,193

Underlying: Common Stock · 1,070 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 performance share units originally awarded on February 5, 2019 under the legacy United Technologies Long-Term Incentive Plan.

F2 · derivative.expiration_date: Vesting of RSUs and delivery of shares with respect to the RSUs that were converted from performance share units originally awarded on February 5, 2019 under the legacy United Technologies Long-Term Incentive Plan.

SEC source: 0001225208-22-001639 · doc4.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,013.0015

SEC source: 0001225208-22-001639 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,505.0015

SEC source: 0001225208-22-001639 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,840.0015

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: 0001225208-22-001639 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,770.0015

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: 0001225208-21-012983 · doc4.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,116

Underlying: Common Stock · 945 shares

Expires not disclosed

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

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

F2 · derivative.exercise_date: Vesting of RSUs and delivery of shares with respect to the RSUs originally awarded on October 1, 2013.

F2 · derivative.expiration_date: Vesting of RSUs and delivery of shares with respect to the RSUs originally awarded on October 1, 2013.

SEC source: 0001225208-21-012983 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,339.8627

SEC source: 0001225208-21-012983 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,777.8627

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

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Savings Plan Trustee

Disclosed balance after: 5,723

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,100

Underlying: Common Stock · 25,100 shares

Expires 2031-02-07

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

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,615

Underlying: Common Stock · 5,520 shares

Expires not disclosed

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

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

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

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,822.7544

F3 · balance_after: Includes 2,444.7544 deferred Performance Share Units (PSUs), including the 441 deferred units reported in the footnote above. The reporting person previously elected to defer receipt of actual shares of common stock that otherwise would be received upon the vesting of these PSUs and instead acquired deferred stock units that settle exclusively in shares and are included in Table I as common stock equivalents. Each deferred stock unit has a value equal to one share of RTX common stock.

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,598.7544

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,789.0179

F4 · balance_after: Includes 2,411.0179 deferred Performance Share Units (PSUs), including the net 407.2635 deferred units (following tax withholding) reported in the footnote above. The reporting person previously elected to defer receipt of actual shares of common stock that otherwise would be received upon the vesting of these PSUs and instead acquired deferred stock units that settle exclusively in shares and are included in Table I as common stock equivalents. Each deferred stock unit has a value equal to one share of RTX common stock. This amendment is being filed to correct the number of withheld shares previously reported and the total number of securities owned following the transaction.

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,565.0179

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

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,095

Underlying: Common Stock · 2,122 shares

Expires not disclosed

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

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

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

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

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,217

Underlying: Common Stock · 883 shares

Expires not disclosed

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

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

F4 · derivative.exercise_date: Vesting of RSUs and delivery of shares with respect to RSUs that were converted from PSUs originally awarded on January 2, 2018 under the legacy United Technologies Long-Term Incentive Plan (LTIP). Each RSU represents the right to receive one share of RTX Common Stock. The reporting person previously elected to defer receipt of 441 shares of common stock that otherwise would be received upon the vesting of these RSUs and instead acquired 441 deferred stock units that settle exclusively in shares and are included in Table I as common stock equivalents. Each deferred stock unit has a value equal to one share of RTX Common Stock.

F4 · derivative.expiration_date: Vesting of RSUs and delivery of shares with respect to RSUs that were converted from PSUs originally awarded on January 2, 2018 under the legacy United Technologies Long-Term Incentive Plan (LTIP). Each RSU represents the right to receive one share of RTX Common Stock. The reporting person previously elected to defer receipt of 441 shares of common stock that otherwise would be received upon the vesting of these RSUs and instead acquired 441 deferred stock units that settle exclusively in shares and are included in Table I as common stock equivalents. Each deferred stock unit has a value equal to one share of RTX Common Stock.

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,733.7544

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

F2 · shares: Includes 441 shares of common stock that otherwise would be received upon the vesting of these RSUs for which the reporting person previously elected to defer receipt. The reporting person instead acquired 441 deferred stock units that settle exclusively in shares and are included in this Table I as common stock equivalents.

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

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,850.7544

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

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

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,733.7544

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

F1 · shares: Includes 441 shares of common stock that otherwise would be received upon the vesting of these restricted stock units (RSUs) for which the reporting person previously elected to defer receipt. The reporting person instead acquired 407.2635 deferred stock units (the net amount following tax withholding) that settle exclusively in shares and are included in this Table I as common stock equivalents.

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

SEC source: 0001225208-20-009004 · doc4.xml · derivative · entry 1

Williams Dantaya M · CIK 0001815109 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,630

Underlying: Common Stock · 14,630 shares

Expires not disclosed

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

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

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

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