Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Baker Hughes CoBKR · Entity 2993 | Director | May 19, 2026 | May 21, 2026 |
| COMMERCIAL METALS CoCMC · Entity 8783 | Director | June 23, 2026 | June 24, 2026 |
| RTX CorpRTX · Entity 2823 | EVP,Chf Transformation Officer | February 25, 2022 | March 01, 2022 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Baker Hughes Co
Report date May 19, 2026 · Filed May 21, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Deferred Stock Unit 05_26SEC Table II · derivative / convertible security | Direct | 2,749 |
Reported balance
After 2026-05-19 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-05-19 · Grant · Acquired 2,749 · Balance 2,749 F1: Each Deferred Stock Unit represents a right to receive without payment one share of Class A Common Stock of the Issuer. F2: The Deferred Stock Units vested immediately on the date of grant and will settle within 30 days after retirement. |
Filing footnotes · ownership attribution and instrument terms
F1: Each Deferred Stock Unit represents a right to receive without payment one share of Class A Common Stock of the Issuer.
F2: The Deferred Stock Units vested immediately on the date of grant and will settle within 30 days after retirement.
COMMERCIAL METALS Co
Report date June 23, 2026 · Filed June 24, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 9,214 |
Reported balance
After 2026-06-23 transaction · row 1
1 source rowRow 1 · 2026-06-23 · Grant · Acquired 1,214 · Balance 9,214 F1: Represents the grant of a Restricted Stock Award issued under the 2013 Long-Term Equity Incentive Plan that vests on a 1:1 basis solely in common stock on the first anniversary of the date of grant. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents the grant of a Restricted Stock Award issued under the 2013 Long-Term Equity Incentive Plan that vests on a 1:1 basis solely in common stock on the first anniversary of the date of grant.
RTX Corp
Report date February 25, 2022 · Filed March 01, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 62,390 |
Ending reported balance
After 2022-02-28 transaction · row 8
8 source rows · reconciled sequenceRow 1 · 2022-02-25 · Exercise / conversion · Acquired 13,000 · Balance 85,390 F1: The Stock Appreciation Rights (SARs) were settled in shares in accordance with the 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. Row 2 · 2022-02-25 · Sale · Disposed 1,883 · Balance 83,507 Row 3 · 2022-02-25 · Sale · Disposed 5,000 · Balance 78,507 Row 4 · 2022-02-25 · Disposition to issuer · Disposed 11,117 · Balance 67,390 Row 5 · 2022-02-28 · Exercise / conversion · Acquired 13,814 · Balance 81,204 F1: The Stock Appreciation Rights (SARs) were settled in shares in accordance with the 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. Row 6 · 2022-02-28 · Sale · Disposed 2,443 · Balance 78,761 Row 7 · 2022-02-28 · Sale · Disposed 5,000 · Balance 73,761 Row 8 · 2022-02-28 · Disposition to issuer · Disposed 11,371 · Balance 62,390 |
| Stock Appreciation RightSEC Table II · derivative / convertible security · Conversion / exercise price $83.58 · Expires 2024-01-01 | Direct | 13,814 |
Reported balance
After 2022-02-25 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2022-02-25 · Exercise / conversion · Disposed 13,000 · Balance 13,814 |
| Stock Appreciation RightSEC Table II · derivative / convertible security · Conversion / exercise price $83.58 · Expires 2024-01-01 | Direct | 0 |
Reported balance
After 2022-02-28 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2022-02-28 · Exercise / conversion · Disposed 13,814 · Balance 0 |
| Common StockSEC Table I · non-derivative | IndirectBy Savings Plan Trustee | 1,879 |
Reported balance
Holding disclosure · report date 2022-02-25 · row 9
Holding and transaction disclosures are not merged.
1 source rowRow 9 · Balance 1,879 |
Filing footnotes · ownership attribution and instrument terms
F1: The Stock Appreciation Rights (SARs) were settled in shares in accordance with the 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.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| January 02, 2021 Filed Jan 5, 2021 22:03 UTC | RTX Corp RTX · Entity 2823 | Exercise / conversionRestricted Stock Units · Derivative | 9,604 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-21-000309 · doc4.xml · derivative · entry 6 Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 119,896 Underlying: Common Stock · 9,604 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Time-based restricted stock units (RSUs) that represent the right to receive one share of the Issuer's Common Stock per unit. F2 · derivative.exercise_date: Vesting of RSUs and delivery of shares with respect to the RSUs originally awarded on January 2, 2018. F2 · derivative.expiration_date: Vesting of RSUs and delivery of shares with respect to the RSUs originally awarded on January 2, 2018. Read SEC document |
| January 02, 2021 Filed Jan 5, 2021 22:03 UTC | RTX Corp RTX · Entity 2823 | Exercise / conversionCommon Stock | 9,604 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-21-000309 · doc4.xml · nonDerivative · entry 2 Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,452 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Time-based restricted stock units (RSUs) that represent the right to receive one share of the Issuer's Common Stock per unit. Read SEC document |
| January 02, 2021 Filed Jan 5, 2021 22:03 UTC | RTX Corp RTX · Entity 2823 | Exercise / conversionCommon Stock | 25,184 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-21-000309 · doc4.xml · nonDerivative · entry 1 Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,848 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Time-based restricted stock units (RSUs) that represent the right to receive one share of the Issuer's Common Stock per unit. Read SEC document |
| October 01, 2020 Filed Oct 5, 2020 22:05 UTC | RTX Corp RTX · Entity 2823 | Exercise / conversionRestricted Stock Units · Derivative | 1,160 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-20-012244 · doc4.xml · derivative · entry 7 Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 128,980 Underlying: Common Stock · 1,160 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Time-based restricted stock units (RSUs) that represent the right to receive one share of the Issuer's Common Stock per unit. F3 · derivative.exercise_date: Vesting of RSUs and delivery of shares to satisfy federal tax obligations with respect to the RSUs that were converted from PSUs originally awarded on February 5, 2019 under the legacy United Technologies LTIP, which relate to 27,570 shares of RTX Common Stock. F3 · derivative.expiration_date: Vesting of RSUs and delivery of shares to satisfy federal tax obligations with respect to the RSUs that were converted from PSUs originally awarded on February 5, 2019 under the legacy United Technologies LTIP, which relate to 27,570 shares of RTX Common Stock. Read SEC document |
| October 01, 2020 Filed Oct 5, 2020 22:05 UTC | RTX Corp RTX · Entity 2823 | Exercise / conversionRestricted Stock Units · Derivative | 1,106 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-20-012244 · doc4.xml · derivative · entry 6 Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 130,140 Underlying: Common Stock · 1,106 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Time-based restricted stock units (RSUs) that represent the right to receive one share of the Issuer's Common Stock per unit. F2 · derivative.exercise_date: Vesting of RSUs and delivery of shares to satisfy federal tax obligations with respect to the RSUs that were converted from performance share units (PSUs ) originally awarded on January 2, 2018 under the legacy United Technologies Long-Term Incentive Plan (LTIP), which relate to 26,290 shares of RTX Common Stock. F2 · derivative.expiration_date: Vesting of RSUs and delivery of shares to satisfy federal tax obligations with respect to the RSUs that were converted from performance share units (PSUs ) originally awarded on January 2, 2018 under the legacy United Technologies Long-Term Incentive Plan (LTIP), which relate to 26,290 shares of RTX Common Stock. Read SEC document |
| October 01, 2020 Filed Oct 5, 2020 22:05 UTC | RTX Corp RTX · Entity 2823 | Tax withholdingCommon Stock | 1,160 | $57.46 | $66,653.60 |
DisclosureSEC source: 0001225208-20-012244 · 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 Read SEC document |
| October 01, 2020 Filed Oct 5, 2020 22:05 UTC | RTX Corp RTX · Entity 2823 | Tax withholdingCommon Stock | 1,106 | $57.46 | $63,550.76 |
DisclosureSEC source: 0001225208-20-012244 · doc4.xml · nonDerivative · entry 3 Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,824 Read SEC document |
| October 01, 2020 Filed Oct 5, 2020 22:05 UTC | RTX Corp RTX · Entity 2823 | Exercise / conversionCommon Stock | 1,106 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-20-012244 · doc4.xml · nonDerivative · entry 2 Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,930 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. Read SEC document |
| October 01, 2020 Filed Oct 5, 2020 22:05 UTC | RTX Corp RTX · Entity 2823 | Exercise / conversionCommon Stock | 1,160 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-20-012244 · doc4.xml · nonDerivative · entry 1 Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,824 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. Read SEC document |
| February 14, 2020 Filed Feb 18, 2020 21:31 UTC | RTX Corp UTX · Entity 2823 | GrantStock Appreciation Right · Derivative | 59,000 | $153.46 Strike: $153.46 | $9,054,140.00 |
DisclosureSEC 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 Read SEC document |
| February 14, 2020 Filed Feb 18, 2020 21:31 UTC | RTX Corp UTX · Entity 2823 | GrantRestricted Stock Units RSU · Derivative | 10,600 | Not disclosed | Not disclosed |
DisclosureSEC 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. Read SEC document |
| February 12, 2020 Filed Feb 14, 2020 21:25 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionStock Appreciation Right · Derivative | 19,956 | $0.00 Strike: $74.79 | $0.00 |
DisclosureSEC 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. Read SEC document |
| February 12, 2020 Filed Feb 14, 2020 21:25 UTC | RTX Corp UTX · Entity 2823 | SaleCommon Stock | 10,287 | $154.32 | $1,587,512.47 |
DisclosureSEC 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. Read SEC document |
| February 12, 2020 Filed Feb 14, 2020 21:25 UTC | RTX Corp UTX · Entity 2823 | Disposition to issuerCommon Stock | 9,669 | $154.35 | $1,492,410.15 |
DisclosureSEC 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 Read SEC document |
| February 12, 2020 Filed Feb 14, 2020 21:25 UTC | RTX Corp UTX · Entity 2823 | SaleCommon Stock | 8,353 | $154.39 | $1,289,590.43 |
DisclosureSEC 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 Read SEC document |
| February 12, 2020 Filed Feb 14, 2020 21:25 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionCommon Stock | 19,956 | $74.79 | $1,492,509.24 |
DisclosureSEC 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. Read SEC document |
| February 10, 2020 Filed Feb 12, 2020 21:27 UTC | RTX Corp UTX · Entity 2823 | Tax withholdingCommon Stock | 7,265 | $156.55 | $1,137,335.75 |
DisclosureSEC source: 0001225208-20-002023 · doc4.xml · nonDerivative · entry 2 Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,017 Read SEC document |
| February 10, 2020 Filed Feb 12, 2020 21:27 UTC | RTX Corp UTX · Entity 2823 | GrantCommon Stock | 15,618 | $156.55 | $2,444,997.90 |
DisclosureSEC source: 0001225208-20-002023 · doc4.xml · nonDerivative · entry 1 Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,282 F1 · shares: The acquisition of shares of UTC common stock represents the vesting of performance share units (PSUs) previously awarded on January 3, 2017 to the reporting person under the United Technologies Corporation Long-Term Incentive Plan. Each PSU has a value equal to one share of UTC Common Stock. These PSUs vest solely upon achievement of pre-established performance targets for UTC's return on invested capital, earnings per share growth and total shareholder return relative to the S&P 500 index over a three-year time period. The performance criteria were satisfied at the 114% level. Read SEC document |
| January 03, 2020 Filed Jan 7, 2020 21:25 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionRestricted Stock Units RSU · Derivative | 5,884 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-20-000626 · doc4.xml · derivative · entry 4 Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,884 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: 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. F2 · derivative.expiration_date: On January 3, 2017, the reporting person was granted 5,500 RSUs, which included the right to receive dividend equivalents. On January 3, 2020, the third anniversary of the grant date, 5,884 RSUs, which included accumulated dividend equivalents, vested. Read SEC document |
| January 03, 2020 Filed Jan 7, 2020 21:25 UTC | RTX Corp UTX · Entity 2823 | Tax withholdingCommon Stock | 1,714 | $153.35 | $262,841.90 |
DisclosureSEC source: 0001225208-20-000626 · doc4.xml · nonDerivative · entry 2 Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,664 Read SEC document |
| January 03, 2020 Filed Jan 7, 2020 21:25 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionCommon Stock | 5,884 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-20-000626 · doc4.xml · nonDerivative · entry 1 Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,378 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: 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. Read SEC document |
| November 01, 2019 Filed Nov 5, 2019 21:24 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionStock Appreciation Right · Derivative | 10,000 | $0.00 Strike: $74.79 | $0.00 |
DisclosureSEC source: 0001225208-19-014131 · doc4.xml · derivative · entry 6 Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,956 Underlying: Common Stock · 10,000 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. Read SEC document |
| November 01, 2019 Filed Nov 5, 2019 21:24 UTC | RTX Corp UTX · Entity 2823 | Disposition to issuerCommon Stock | 5,125 | $145.93 | $747,891.25 |
DisclosureSEC source: 0001225208-19-014131 · doc4.xml · nonDerivative · entry 4 Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,494 Read SEC document |
| November 01, 2019 Filed Nov 5, 2019 21:24 UTC | RTX Corp UTX · Entity 2823 | SaleCommon Stock | 4,875 | $145.91 | $711,294.19 |
DisclosureSEC source: 0001225208-19-014131 · doc4.xml · nonDerivative · entry 3 Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,619 F3 · price: The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $145.8800 to $145.9450 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. Read SEC document |
| November 01, 2019 Filed Nov 5, 2019 21:24 UTC | RTX Corp UTX · Entity 2823 | SaleCommon Stock | 1,679 | $145.90 | $244,969.63 |
DisclosureSEC source: 0001225208-19-014131 · doc4.xml · nonDerivative · entry 2 Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,494 F2 · price: The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $145.8970 to $145.9100 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. Read SEC document |
| November 01, 2019 Filed Nov 5, 2019 21:24 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionCommon Stock | 10,000 | $74.79 | $747,900.00 |
DisclosureSEC source: 0001225208-19-014131 · doc4.xml · nonDerivative · entry 1 Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,173 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. Read SEC document |
| October 25, 2019 Filed Oct 28, 2019 20:24 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionStock Appreciation Right · Derivative | 20,000 | $0.00 Strike: $74.79 | $0.00 |
DisclosureSEC source: 0001225208-19-013868 · doc4.xml · derivative · entry 6 Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,956 Underlying: Common Stock · 20,000 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. Read SEC document |
| October 25, 2019 Filed Oct 28, 2019 20:24 UTC | RTX Corp UTX · Entity 2823 | Disposition to issuerCommon Stock | 10,446 | $143.19 | $1,495,762.74 |
DisclosureSEC source: 0001225208-19-013868 · doc4.xml · nonDerivative · entry 4 Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,173 Read SEC document |
| October 25, 2019 Filed Oct 28, 2019 20:24 UTC | RTX Corp UTX · Entity 2823 | SaleCommon Stock | 9,554 | $143.32 | $1,369,262.08 |
DisclosureSEC source: 0001225208-19-013868 · doc4.xml · nonDerivative · entry 3 Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,619 F2 · price: The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $143.31 to $143.33 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. Read SEC document |
| October 25, 2019 Filed Oct 28, 2019 20:24 UTC | RTX Corp UTX · Entity 2823 | SaleCommon Stock | 2,000 | $143.14 | $286,274.00 |
DisclosureSEC source: 0001225208-19-013868 · doc4.xml · nonDerivative · entry 2 Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,173 Read SEC document |
| October 25, 2019 Filed Oct 28, 2019 20:24 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionCommon Stock | 20,000 | $74.79 | $1,495,800.00 |
DisclosureSEC source: 0001225208-19-013868 · doc4.xml · nonDerivative · entry 1 Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,173 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. Read SEC document |
| August 09, 2019 Filed Aug 13, 2019 20:31 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionStock Appreciation Right · Derivative | 10,092 | $0.00 Strike: $74.79 | $0.00 |
DisclosureSEC source: 0001225208-19-011277 · doc4.xml · derivative · entry 5 Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,092 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. Read SEC document |
| August 09, 2019 Filed Aug 13, 2019 20:31 UTC | RTX Corp UTX · Entity 2823 | Disposition to issuerCommon Stock | 5,763 | $130.95 | $754,664.85 |
DisclosureSEC source: 0001225208-19-011277 · doc4.xml · nonDerivative · entry 3 Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,173 Read SEC document |
| August 09, 2019 Filed Aug 13, 2019 20:31 UTC | RTX Corp UTX · Entity 2823 | SaleCommon Stock | 4,329 | $130.98 | $567,014.58 |
DisclosureSEC source: 0001225208-19-011277 · doc4.xml · nonDerivative · entry 2 Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,936 Read SEC document |
| August 09, 2019 Filed Aug 13, 2019 20:31 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionCommon Stock | 10,092 | $74.79 | $754,780.68 |
DisclosureSEC source: 0001225208-19-011277 · doc4.xml · nonDerivative · entry 1 Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,265 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 the 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. Read SEC document |
| May 01, 2019 Filed May 3, 2019 20:23 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionRestricted Stock Units RSU · Derivative | 4,400 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-007708 · doc4.xml · derivative · entry 4 Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,400 Underlying: Common Stock · 4,400 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: Each restricted stock unit (RSU), including dividend equivalents, represents a contingent right to receive one share of UTC Common Stock. F2 · derivative.exercise_date: On May 1, 2017, the reporting person was granted 8,410 RSUs, of which 50% of those RSUs (4,205 RSUs) plus 50% of the dividend equivalents (195 RSUs) vested on May 1, 2019, the second anniversary of the grant date. The remaining 50% of the RSU grant plus dividend equivalents will vest on May 1, 2021. F2 · derivative.expiration_date: On May 1, 2017, the reporting person was granted 8,410 RSUs, of which 50% of those RSUs (4,205 RSUs) plus 50% of the dividend equivalents (195 RSUs) vested on May 1, 2019, the second anniversary of the grant date. The remaining 50% of the RSU grant plus dividend equivalents will vest on May 1, 2021. Read SEC document |
| May 01, 2019 Filed May 3, 2019 20:23 UTC | RTX Corp UTX · Entity 2823 | Tax withholdingCommon Stock | 2,046 | $141.58 | $289,672.68 |
DisclosureSEC source: 0001225208-19-007708 · doc4.xml · nonDerivative · entry 2 Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,173 Read SEC document |
| May 01, 2019 Filed May 3, 2019 20:23 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionCommon Stock | 4,400 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-007708 · doc4.xml · nonDerivative · entry 1 Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,219 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: Each restricted stock unit (RSU), including dividend equivalents, represents a contingent right to receive one share of UTC Common Stock. Read SEC document |
| February 15, 2019 Filed Feb 19, 2019 21:32 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionStock Appreciation Right · Derivative | 15,500 | $0.00 Strike: $74.66 | $0.00 |
DisclosureSEC source: 0001225208-19-002932 · doc4.xml · derivative · entry 5 Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 15,500 shares Expires 2022-01-02 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. Read SEC document |
| February 15, 2019 Filed Feb 19, 2019 21:32 UTC | RTX Corp UTX · Entity 2823 | Disposition to issuerCommon Stock | 9,134 | $126.69 | $1,157,186.46 |
DisclosureSEC source: 0001225208-19-002932 · doc4.xml · nonDerivative · entry 3 Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,819 Read SEC document |
| February 15, 2019 Filed Feb 19, 2019 21:32 UTC | RTX Corp UTX · Entity 2823 | SaleCommon Stock | 6,366 | $126.75 | $806,885.41 |
DisclosureSEC source: 0001225208-19-002932 · doc4.xml · nonDerivative · entry 2 Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,953 Read SEC document |
| February 15, 2019 Filed Feb 19, 2019 21:32 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionCommon Stock | 15,500 | $74.66 | $1,157,230.00 |
DisclosureSEC source: 0001225208-19-002932 · doc4.xml · nonDerivative · entry 1 Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,319 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. Read SEC document |
| February 11, 2019 Filed Feb 13, 2019 21:33 UTC | RTX Corp UTX · Entity 2823 | Tax withholdingCommon Stock | 8,108 | $122.72 | $995,013.76 |
DisclosureSEC source: 0001225208-19-002443 · doc4.xml · nonDerivative · entry 2 Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,819 Read SEC document |
| February 11, 2019 Filed Feb 13, 2019 21:33 UTC | RTX Corp UTX · Entity 2823 | GrantCommon Stock | 18,328 | $122.72 | $2,249,212.16 |
DisclosureSEC source: 0001225208-19-002443 · doc4.xml · nonDerivative · entry 1 Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,927 F1 · shares: The acquisition of shares of UTC common stock represents the vesting of performance share units (PSUs) previously awarded on January 4, 2016 to the reporting person under the United Technologies Corporation Long-Term Incentive Plan. Each PSU has a value equal to one share of UTC Common Stock. These PSUs vest solely upon achievement of pre-established performance targets for UTC's return on invested capital, earnings per share growth and total shareholder return relative to the S&P 500 index over a three-year time period. The performance criteria were satisfied at the 116% level. Read SEC document |
| February 05, 2019 Filed Feb 7, 2019 21:36 UTC | RTX Corp UTX · Entity 2823 | GrantStock Appreciation Right · Derivative | 74,000 | $120.77 Strike: $120.77 | $8,936,980.00 |
DisclosureSEC source: 0001225208-19-001971 · doc4.xml · derivative · entry 4 Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,000 Underlying: Common Stock · 74,000 shares Expires 2029-02-04 F2 · balance_after: The reporting person was also awarded 13,400 performance share units (PSUs) under the UTC Long-Term Incentive Plan. Each PSU has a value equal to one share of UTC Common Stock. These PSUs vest solely upon achievement of pre-established performance targets for UTC's return on invested capital, earnings per share growth and total shareholder return relative to the S&P 500 index over a three-year time period. Read SEC document |
| February 05, 2019 Filed Feb 7, 2019 21:36 UTC | RTX Corp UTX · Entity 2823 | GrantRestricted Stock Units RSU · Derivative | 8,285 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-001971 · doc4.xml · derivative · entry 3 Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,285 Underlying: Common Stock · 8,285 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 · 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. Read SEC document |
| January 30, 2019 Filed Jan 31, 2019 21:33 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionStock Appreciation Right · Derivative | 15,000 | $0.00 Strike: $74.66 | $0.00 |
DisclosureSEC source: 0001225208-19-001614 · doc4.xml · derivative · entry 6 Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,500 Underlying: Common Stock · 15,000 shares Expires 2022-01-02 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. Read SEC document |
| January 30, 2019 Filed Jan 31, 2019 21:33 UTC | RTX Corp UTX · Entity 2823 | Disposition to issuerCommon Stock | 9,408 | $119.03 | $1,119,834.24 |
DisclosureSEC source: 0001225208-19-001614 · doc4.xml · nonDerivative · entry 4 Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,599 Read SEC document |
| January 30, 2019 Filed Jan 31, 2019 21:33 UTC | RTX Corp UTX · Entity 2823 | SaleCommon Stock | 5,592 | $119.04 | $665,677.27 |
DisclosureSEC source: 0001225208-19-001614 · doc4.xml · nonDerivative · entry 3 Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,007 F3 · price: The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $119.040 to $119.0522 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. Read SEC document |
| January 30, 2019 Filed Jan 31, 2019 21:33 UTC | RTX Corp UTX · Entity 2823 | SaleCommon Stock | 4,028 | $119.22 | $480,226.22 |
DisclosureSEC source: 0001225208-19-001614 · doc4.xml · nonDerivative · entry 2 Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,599 F2 · price: The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $119.221 to $119.230 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. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.