Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| RTX CorpUTX · Entity 2823 | Corp VP, Treasurer | February 10, 2020 | February 12, 2020 |
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.
RTX Corp
Report date February 10, 2020 · Filed February 12, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 10,391 |
Ending reported balance
After 2020-02-10 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2020-02-10 · Grant · Acquired 1,893 · Balance 10,986 F1: 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. Row 2 · 2020-02-10 · Tax withholding · Disposed 595 · Balance 10,391 |
| Common StockSEC Table I · non-derivative | IndirectBy Savings Plan Trustee | 409 |
Reported balance
Holding disclosure · report date 2020-02-10 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 409 |
Filing footnotes · ownership attribution and instrument terms
F1: 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.
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 |
|---|---|---|---|---|---|---|
| February 10, 2020 Filed Feb 12, 2020 21:38 UTC | RTX Corp UTX · Entity 2823 | Tax withholdingCommon Stock | 595 | $156.55 | $93,147.25 |
DisclosureSEC source: 0001225208-20-002030 · doc4.xml · nonDerivative · entry 2 Whitehouse David R · CIK 0001638500 · Corp VP, Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,391 Read SEC document |
| February 10, 2020 Filed Feb 12, 2020 21:38 UTC | RTX Corp UTX · Entity 2823 | GrantCommon Stock | 1,893 | $156.55 | $296,349.15 |
DisclosureSEC source: 0001225208-20-002030 · doc4.xml · nonDerivative · entry 1 Whitehouse David R · CIK 0001638500 · Corp VP, Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,986 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 |
| February 04, 2020 Filed Feb 6, 2020 21:28 UTC | RTX Corp UTX · Entity 2823 | GrantStock Appreciation Right · Derivative | 13,700 | $153.00 Strike: $153.00 | $2,096,100.00 |
DisclosureSEC source: 0001225208-20-001780 · doc4.xml · derivative · entry 4 Whitehouse David R · CIK 0001638500 · Corp VP, Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,700 Underlying: Common Stock · 13,700 shares Expires 2030-02-03 Read SEC document |
| February 04, 2020 Filed Feb 6, 2020 21:28 UTC | RTX Corp UTX · Entity 2823 | GrantRestricted Stock Units RSU · Derivative | 2,455 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001225208-20-001780 · doc4.xml · derivative · entry 3 Whitehouse David R · CIK 0001638500 · Corp VP, Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,455 Underlying: Common Stock · 2,455 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 |
| January 03, 2020 Filed Jan 7, 2020 21:25 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionRestricted Stock Units RSU · Derivative | 2,642 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-20-000625 · doc4.xml · derivative · entry 4 Whitehouse David R · CIK 0001638500 · Corp VP, Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,642 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 2,470 RSUs, which included the right to receive dividend equivalents. On January 3, 2020, the third anniversary of the grant date, 2,642 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 | 874 | $153.35 | $134,027.90 |
DisclosureSEC source: 0001225208-20-000625 · doc4.xml · nonDerivative · entry 2 Whitehouse David R · CIK 0001638500 · Corp VP, Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,093 Read SEC document |
| January 03, 2020 Filed Jan 7, 2020 21:25 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionCommon Stock | 2,642 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-20-000625 · doc4.xml · nonDerivative · entry 1 Whitehouse David R · CIK 0001638500 · Corp VP, Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,967 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 |
| February 11, 2019 Filed Feb 13, 2019 21:33 UTC | RTX Corp UTX · Entity 2823 | Tax withholdingCommon Stock | 574 | $122.72 | $70,441.28 |
DisclosureSEC source: 0001225208-19-002439 · doc4.xml · nonDerivative · entry 2 Whitehouse David R · CIK 0001638500 · Corp VP, Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,325 Read SEC document |
| February 11, 2019 Filed Feb 13, 2019 21:33 UTC | RTX Corp UTX · Entity 2823 | GrantCommon Stock | 1,833 | $122.72 | $224,945.76 |
DisclosureSEC source: 0001225208-19-002439 · doc4.xml · nonDerivative · entry 1 Whitehouse David R · CIK 0001638500 · Corp VP, Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,899 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 | 12,350 | $120.77 Strike: $120.77 | $1,491,509.50 |
DisclosureSEC source: 0001225208-19-001972 · doc4.xml · derivative · entry 4 Whitehouse David R · CIK 0001638500 · Corp VP, Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,350 Underlying: Common Stock · 12,350 shares Expires 2029-02-04 F2 · balance_after: The reporting person was also awarded 2,680 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 | 4,021 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-001972 · doc4.xml · derivative · entry 3 Whitehouse David R · CIK 0001638500 · Corp VP, Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,021 Underlying: Common Stock · 4,021 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 04, 2019 Filed Jan 8, 2019 21:32 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionRestricted Stock Units 1/4/16 · Derivative | 1,055 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-000724 · doc4.xml · derivative · entry 4 Whitehouse David R · CIK 0001638500 · Corp VP, Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,055 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) represents a contingent right to receive one share of UTC Common Stock. F2 · derivative.exercise_date: On January 4, 2016, the reporting person was granted 1,055 RSUs, which vested on January 4, 2019, the third anniversary of the grant date. F2 · derivative.expiration_date: On January 4, 2016, the reporting person was granted 1,055 RSUs, which vested on January 4, 2019, the third anniversary of the grant date. Read SEC document |
| January 04, 2019 Filed Jan 8, 2019 21:32 UTC | RTX Corp UTX · Entity 2823 | Tax withholdingCommon Stock | 388 | $107.02 | $41,523.76 |
DisclosureSEC source: 0001225208-19-000724 · doc4.xml · nonDerivative · entry 2 Whitehouse David R · CIK 0001638500 · Corp VP, Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,066 Read SEC document |
| January 04, 2019 Filed Jan 8, 2019 21:32 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionCommon Stock | 1,055 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-000724 · doc4.xml · nonDerivative · entry 1 Whitehouse David R · CIK 0001638500 · Corp VP, Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,454 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) represents a contingent right to receive one share of UTC Common Stock. Read SEC document |
| February 12, 2018 Filed Feb 14, 2018 21:56 UTC | RTX Corp UTX · Entity 2823 | Tax withholdingCommon Stock | 90 | $127.38 | $11,464.20 |
DisclosureSEC source: 0001225208-18-002915 · doc4.xml · nonDerivative · entry 2 Whitehouse David R · CIK 0001638500 · Corp VP, Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,399 Read SEC document |
| February 12, 2018 Filed Feb 14, 2018 21:56 UTC | RTX Corp UTX · Entity 2823 | GrantCommon Stock | 286 | $127.38 | $36,430.68 |
DisclosureSEC source: 0001225208-18-002915 · doc4.xml · nonDerivative · entry 1 Whitehouse David R · CIK 0001638500 · Corp VP, Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,489 F1 · shares: The acquisition of shares of UTC common stock represents the vesting of performance share units (PSUs) awarded to the reporting person on January 2, 2015, under the UTC Long-Term Incentive Plan. Each PSU has a value equal to one share of UTC common stock. The PSUs vested solely upon achievement of pre-established performance targets for UTC's earnings per share growth and total shareholder return over a three-year performance period, which ended on December 31, 2017. The performance criteria were satisfied at the 28% level. Read SEC document |
| January 02, 2018 Filed Jan 4, 2018 21:32 UTC | RTX Corp UTX · Entity 2823 | GrantStock Appreciation Right · Derivative | 6,700 | $128.16 Strike: $128.16 | $858,672.00 |
DisclosureSEC source: 0001225208-18-000663 · doc4.xml · derivative · entry 6 Whitehouse David R · CIK 0001638500 · Corp VP, Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,700 Underlying: Common Stock · 6,700 shares Expires 2028-01-01 F4 · balance_after: The reporting person was also awarded 1,460 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 |
| January 02, 2018 Filed Jan 4, 2018 21:32 UTC | RTX Corp UTX · Entity 2823 | GrantRestricted Stock Units RSU · Derivative | 2,171 | $128.16 | $278,235.36 |
DisclosureSEC source: 0001225208-18-000663 · doc4.xml · derivative · entry 5 Whitehouse David R · CIK 0001638500 · Corp VP, Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,171 Underlying: Common Stock · 2,171 shares Expires not disclosed F3 · 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. F3 · 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 02, 2018 Filed Jan 4, 2018 21:32 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionRestricted Stock Units 1/2/15 · Derivative | 2,175 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-000663 · doc4.xml · derivative · entry 4 Whitehouse David R · CIK 0001638500 · Corp VP, Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,175 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) represents a contingent right to receive one share of UTC common stock. F2 · derivative.exercise_date: On January 2, 2015, the reporting person was granted 2,175 RSUs, which vested on the third anniversary of the grant date. F2 · derivative.expiration_date: On January 2, 2015, the reporting person was granted 2,175 RSUs, which vested on the third anniversary of the grant date. Read SEC document |
| January 02, 2018 Filed Jan 4, 2018 21:32 UTC | RTX Corp UTX · Entity 2823 | Tax withholdingCommon Stock | 797 | $128.16 | $102,143.52 |
DisclosureSEC source: 0001225208-18-000663 · doc4.xml · nonDerivative · entry 2 Whitehouse David R · CIK 0001638500 · Corp VP, Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,203 Read SEC document |
| January 02, 2018 Filed Jan 4, 2018 21:32 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionCommon Stock | 2,175 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-000663 · doc4.xml · nonDerivative · entry 1 Whitehouse David R · CIK 0001638500 · Corp VP, Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,000 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) represents a contingent right to receive one share of UTC common stock. Read SEC document |
| January 03, 2017 Filed Jan 5, 2017 21:34 UTC | RTX Corp UTX · Entity 2823 | GrantStock Appreciation Right · Derivative | 6,900 | $110.83 Strike: $110.83 | $764,727.00 |
DisclosureSEC source: 0001225208-17-000716 · doc4.xml · derivative · entry 6 Whitehouse David R · CIK 0001638500 · Corp VP, Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,900 Underlying: Common Stock · 6,900 shares Expires 2027-01-02 F4 · balance_after: The reporting person was also awarded 1,660 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 |
| January 03, 2017 Filed Jan 5, 2017 21:34 UTC | RTX Corp UTX · Entity 2823 | GrantRestricted Stock Units RSU · Derivative | 2,470 | $110.83 | $273,750.10 |
DisclosureSEC source: 0001225208-17-000716 · doc4.xml · derivative · entry 5 Whitehouse David R · CIK 0001638500 · Corp VP, Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,470 Underlying: Common Stock · 2,470 shares Expires not disclosed F3 · derivative.exercise_price: Each restricted stock unit (RSU), including dividend equivalents, represents a contingent right to receive one share of UTC Common Stock. F3 · derivative.expiration_date: Each restricted stock unit (RSU), including dividend equivalents, represents a contingent right to receive one share of UTC Common Stock. Read SEC document |
| January 03, 2017 Filed Jan 5, 2017 21:34 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionRestricted Stock Units 1/2/14 · Derivative | 1,025 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-000716 · doc4.xml · derivative · entry 4 Whitehouse David R · CIK 0001638500 · Corp VP, Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,025 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 represents a contingent right to receive one share of UTC common stock. F1 · price: Each restricted stock unit represents a contingent right to receive one share of UTC common stock. F2 · derivative.exercise_date: On January 2, 2014, the reporting person was granted 1,025 restricted stock units (RSUs), which vested on the third anniversary of the grant date. F2 · derivative.expiration_date: On January 2, 2014, the reporting person was granted 1,025 restricted stock units (RSUs), which vested on the third anniversary of the grant date. Read SEC document |
| January 03, 2017 Filed Jan 5, 2017 21:34 UTC | RTX Corp UTX · Entity 2823 | Tax withholdingCommon Stock | 407 | $110.83 | $45,107.81 |
DisclosureSEC source: 0001225208-17-000716 · doc4.xml · nonDerivative · entry 2 Whitehouse David R · CIK 0001638500 · Corp VP, Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,825 Read SEC document |
| January 03, 2017 Filed Jan 5, 2017 21:34 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionCommon Stock | 1,025 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-000716 · doc4.xml · nonDerivative · entry 1 Whitehouse David R · CIK 0001638500 · Corp VP, Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,232 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 represents a contingent right to receive one share of UTC common stock. Read SEC document |
| June 10, 2016 Filed Jun 14, 2016 21:03 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionDividend Equivalent Rights · Derivative | 11 | $100.35 | $1,103.85 |
DisclosureSEC source: 0001225208-16-035050 · doc4.xml · derivative · entry 5 Whitehouse David R · CIK 0001638500 · Corp VP, Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 11 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: Restricted stock units (RSUs), including dividend equivalent rights, convert into UTC common stock on a one-for-one basis. F2 · date: On June 1, 2012, the reporting person was granted 1,527 restricted stock units (RSUs), which included the right to receive dividend equivalents, when quarterly dividends are paid on UTC's common stock. On the fourth anniversary of the grant date, June 1, 2016, 1,674 RSUs, which included accumulated dividend equivalents, were converted into common stock. That transaction was reported on June 3, 2016. Those previously awarded RSUs were entitled to an additional 11 dividend equivalents that were not payable until June 10, 2016. F3 · derivative.exercise_date: The dividend equivalent rights vested on June 1, 2016, yet were not payable until June 10, 2016. F3 · derivative.expiration_date: The dividend equivalent rights vested on June 1, 2016, yet were not payable until June 10, 2016. Read SEC document |
| June 10, 2016 Filed Jun 14, 2016 21:03 UTC | RTX Corp UTX · Entity 2823 | GrantDividend Equivalent Rights · Derivative | 11 | $100.35 | $1,103.85 |
DisclosureSEC source: 0001225208-16-035050 · doc4.xml · derivative · entry 4 Whitehouse David R · CIK 0001638500 · Corp VP, Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11 Underlying: Common Stock · 11 shares Expires not disclosed F1 · derivative.exercise_price: Restricted stock units (RSUs), including dividend equivalent rights, convert into UTC common stock on a one-for-one basis. F2 · date: On June 1, 2012, the reporting person was granted 1,527 restricted stock units (RSUs), which included the right to receive dividend equivalents, when quarterly dividends are paid on UTC's common stock. On the fourth anniversary of the grant date, June 1, 2016, 1,674 RSUs, which included accumulated dividend equivalents, were converted into common stock. That transaction was reported on June 3, 2016. Those previously awarded RSUs were entitled to an additional 11 dividend equivalents that were not payable until June 10, 2016. F3 · derivative.exercise_date: The dividend equivalent rights vested on June 1, 2016, yet were not payable until June 10, 2016. F3 · derivative.expiration_date: The dividend equivalent rights vested on June 1, 2016, yet were not payable until June 10, 2016. Read SEC document |
| June 10, 2016 Filed Jun 14, 2016 21:03 UTC | RTX Corp UTX · Entity 2823 | Tax withholdingCommon Stock | 4 | $100.35 | $401.40 |
DisclosureSEC source: 0001225208-16-035050 · doc4.xml · nonDerivative · entry 2 Whitehouse David R · CIK 0001638500 · Corp VP, Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,207 Read SEC document |
| June 10, 2016 Filed Jun 14, 2016 21:03 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionCommon Stock | 11 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-035050 · doc4.xml · nonDerivative · entry 1 Whitehouse David R · CIK 0001638500 · Corp VP, Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,211 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: Restricted stock units (RSUs), including dividend equivalent rights, convert into UTC common stock on a one-for-one basis. Read SEC document |
| June 01, 2016 Filed Jun 3, 2016 21:03 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionRestricted Stock Units RSU · Derivative | 1,674 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-034566 · doc4.xml · derivative · entry 4 Whitehouse David R · CIK 0001638500 · Corp VP, Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,674 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: Restricted stock units (RSUs) convert into UTC common stock on a one-for-one basis. F1 · price: Restricted stock units (RSUs) convert into UTC common stock on a one-for-one basis. F2 · derivative.exercise_date: On June 1, 2012, the reporting person was granted 1,527 restricted stock units (RSUs), which included the right to receive dividend equivalents when quarterly dividends are paid on UTC's common stock. The 1,674 RSUs include accumulated dividend equivalents. The RSUs vested on the fourth anniversary of the grant date, June 1, 2016. F2 · derivative.expiration_date: On June 1, 2012, the reporting person was granted 1,527 restricted stock units (RSUs), which included the right to receive dividend equivalents when quarterly dividends are paid on UTC's common stock. The 1,674 RSUs include accumulated dividend equivalents. The RSUs vested on the fourth anniversary of the grant date, June 1, 2016. Read SEC document |
| June 01, 2016 Filed Jun 3, 2016 21:03 UTC | RTX Corp UTX · Entity 2823 | Tax withholdingCommon Stock | 577 | $100.35 | $57,901.95 |
DisclosureSEC source: 0001225208-16-034566 · doc4.xml · nonDerivative · entry 2 Whitehouse David R · CIK 0001638500 · Corp VP, Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,200 Read SEC document |
| June 01, 2016 Filed Jun 3, 2016 21:03 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionCommon Stock | 1,674 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-034566 · doc4.xml · nonDerivative · entry 1 Whitehouse David R · CIK 0001638500 · Corp VP, Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,777 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: Restricted stock units (RSUs) convert into UTC common stock on a one-for-one basis. Read SEC document |
| February 10, 2016 Filed Feb 12, 2016 22:06 UTC | RTX Corp UTX · Entity 2823 | Tax withholdingCommon Stock | 101 | $86.96 | $8,782.96 |
DisclosureSEC source: 0001225208-16-026341 · doc4.xml · nonDerivative · entry 2 Whitehouse David R · CIK 0001638500 · Corp VP, Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,097 Read SEC document |
| February 10, 2016 Filed Feb 12, 2016 22:06 UTC | RTX Corp UTX · Entity 2823 | GrantCommon Stock | 295 | $86.96 | $25,653.20 |
DisclosureSEC source: 0001225208-16-026341 · doc4.xml · nonDerivative · entry 1 Whitehouse David R · CIK 0001638500 · Corp VP, Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,198 F1 · shares: The acquisition of shares of UTC common stock represents the vesting of performance share units (PSUs) previously awarded on January 2, 2013 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. The PSUs vested solely upon achievement of pre-established performance targets for UTC's earnings per share growth and total shareholder return over a three-year performance period. Read SEC document |
| January 04, 2016 Filed Jan 6, 2016 22:06 UTC | RTX Corp UTX · Entity 2823 | GrantStock Appreciation Right · Derivative | 13,200 | $95.57 Strike: $95.57 | $1,261,524.00 |
DisclosureSEC source: 0001225208-16-023812 · doc4.xml · derivative · entry 4 Whitehouse David R · CIK 0001638500 · Vice President, Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,200 Underlying: Common Stock · 13,200 shares Expires 2026-01-03 F3 · balance_after: The reporting person was also awarded 1,580 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 |
| January 04, 2016 Filed Jan 6, 2016 22:06 UTC | RTX Corp UTX · Entity 2823 | GrantRestricted Stock Units 1/4/16 · Derivative | 1,055 | $95.57 | $100,826.35 |
DisclosureSEC source: 0001225208-16-023812 · doc4.xml · derivative · entry 3 Whitehouse David R · CIK 0001638500 · Vice President, Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,055 Underlying: Common Stock · 1,055 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit (RSU) is equal in value to one share of UTC common stock. F2 · derivative.exercise_date: The restricted stock units (RSUs) vest after three years. F2 · derivative.expiration_date: The restricted stock units (RSUs) vest after three years. Read SEC document |
| January 04, 2016 Filed Jan 8, 2016 22:02 UTC Amendment | RTX Corp UTX · Entity 2823 | Exercise / conversionRestricted Stock Units 1/2/13 · Derivative | 1,400 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001225208-16-023954 · doc4a.xml · derivative · entry 3 Whitehouse David R · CIK 0001638500 · Corp VP, Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,400 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: Restricted stock units (RSUs) convert into UTC common stock on a one-for-one basis. F1 · price: Restricted stock units (RSUs) convert into UTC common stock on a one-for-one basis. F2 · derivative.exercise_date: On January 2, 2013, the reporting person was granted 1,400 restricted stock units (RSUs), which RSUs vested on the third anniversary of the grant date, January 2, 2016. F2 · derivative.expiration_date: On January 2, 2013, the reporting person was granted 1,400 restricted stock units (RSUs), which RSUs vested on the third anniversary of the grant date, January 2, 2016. Read SEC document |
| January 04, 2016 Filed Jan 8, 2016 22:02 UTC Amendment | RTX Corp UTX · Entity 2823 | Tax withholdingCommon Stock | 544 | $95.57 | $51,990.08 |
DisclosureSEC source: 0001225208-16-023954 · doc4a.xml · nonDerivative · entry 2 Whitehouse David R · CIK 0001638500 · Corp VP, Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,903 Read SEC document |
| January 04, 2016 Filed Jan 8, 2016 22:02 UTC Amendment | RTX Corp UTX · Entity 2823 | Exercise / conversionCommon Stock | 1,400 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-023954 · doc4a.xml · nonDerivative · entry 1 Whitehouse David R · CIK 0001638500 · Corp VP, Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,447 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: Restricted stock units (RSUs) convert into UTC common stock on a one-for-one basis. 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.