Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| RTX CorpUTX · Entity 2823 | Executive VP & General Counsel | 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 | 45,812 |
Ending reported balance
After 2020-02-10 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2020-02-10 · Grant · Acquired 15,618 · Balance 53,058 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 7,246 · Balance 45,812 |
| Common StockSEC Table I · non-derivative | IndirectBy Savings Plan Trustee | 9,021 |
Reported balance
Holding disclosure · report date 2020-02-10 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 9,021 |
| Common StockSEC Table I · non-derivative | IndirectBy Spouse | 1,546.02 |
Reported balance
Holding disclosure · report date 2020-02-10 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 1,546.02 |
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 21:29 UTC | RTX Corp UTX · Entity 2823 | Tax withholdingCommon Stock | 7,246 | $156.55 | $1,134,361.30 |
DisclosureSEC source: 0001225208-20-002028 · doc4.xml · nonDerivative · entry 2 Gill Charles D · CIK 0001395028 · Executive VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,812 Read SEC document |
| February 10, 2020 Filed Feb 12, 2020 21:29 UTC | RTX Corp UTX · Entity 2823 | GrantCommon Stock | 15,618 | $156.55 | $2,444,997.90 |
DisclosureSEC source: 0001225208-20-002028 · doc4.xml · nonDerivative · entry 1 Gill Charles D · CIK 0001395028 · Executive VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,058 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 21:27 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionRestricted Stock Units RSU · Derivative | 5,884 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-20-000628 · doc4.xml · derivative · entry 5 Gill Charles D · CIK 0001395028 · Executive VP & General Counsel 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 21:27 UTC | RTX Corp UTX · Entity 2823 | Tax withholdingCommon Stock | 1,708 | $153.35 | $261,921.80 |
DisclosureSEC source: 0001225208-20-000628 · doc4.xml · nonDerivative · entry 2 Gill Charles D · CIK 0001395028 · Executive VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,440 Read SEC document |
| January 03, 2020 Filed Jan 7, 2020 21:27 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionCommon Stock | 5,884 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-20-000628 · doc4.xml · nonDerivative · entry 1 Gill Charles D · CIK 0001395028 · Executive VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,148 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 |
| October 24, 2019 Filed Oct 25, 2019 20:24 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionStock Appreciation Right · Derivative | 18,250 | $0.00 Strike: $84.00 | $0.00 |
DisclosureSEC source: 0001225208-19-013823 · doc4.xml · derivative · entry 6 Gill Charles D · CIK 0001395028 · Executive VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,750 Underlying: Common Stock · 18,250 shares Expires 2023-01-01 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 24, 2019 Filed Oct 25, 2019 20:24 UTC | RTX Corp UTX · Entity 2823 | Disposition to issuerCommon Stock | 10,782 | $142.17 | $1,532,876.94 |
DisclosureSEC source: 0001225208-19-013823 · doc4.xml · nonDerivative · entry 3 Gill Charles D · CIK 0001395028 · Executive VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,958 Read SEC document |
| October 24, 2019 Filed Oct 25, 2019 20:24 UTC | RTX Corp UTX · Entity 2823 | SaleCommon Stock | 7,468 | $142.19 | $1,061,887.62 |
DisclosureSEC source: 0001225208-19-013823 · doc4.xml · nonDerivative · entry 2 Gill Charles D · CIK 0001395028 · Executive VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,740 F2 · price: The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $142.19 to $142.21 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 24, 2019 Filed Oct 25, 2019 20:24 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionCommon Stock | 18,250 | $84.00 | $1,533,000.00 |
DisclosureSEC source: 0001225208-19-013823 · doc4.xml · nonDerivative · entry 1 Gill Charles D · CIK 0001395028 · Executive VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,208 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 24, 2019 Filed Nov 15, 2019 21:26 UTC | RTX Corp UTX · Entity 2823 | SaleCommon Stock | 3,694 | $141.17 | $521,489.37 |
DisclosureSEC source: 0001225208-19-014559 · doc4.xml · nonDerivative · entry 1 Gill Charles D · CIK 0001395028 · Executive VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,264 F1 · date: On October 25, 2019, the reporting person timely reported the exercise of 18,250 Stock Appreciation Rights ("SARs") on October 24, 2019; however, the sale of 3,694 shares of UTC common stock was not reported at that time because it was inadvertently omitted from the transaction information that was transmitted by the reporting person's investment advisor to the issuer in connection with the filing of the Form 4. Read SEC document |
| September 11, 2019 Filed Sep 13, 2019 20:25 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionStock Appreciation Right · Derivative | 75,500 | $0.00 Strike: $74.66 | $0.00 |
DisclosureSEC source: 0001225208-19-012422 · doc4.xml · derivative · entry 10 Gill Charles D · CIK 0001395028 · Executive VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 75,500 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 |
| September 11, 2019 Filed Sep 13, 2019 20:25 UTC | RTX Corp UTX · Entity 2823 | Disposition to issuerCommon Stock | 14,102 | $135.00 | $1,903,770.00 |
DisclosureSEC source: 0001225208-19-012422 · doc4.xml · nonDerivative · entry 7 Gill Charles D · CIK 0001395028 · Executive VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,958 Read SEC document |
| September 11, 2019 Filed Sep 13, 2019 20:25 UTC | RTX Corp UTX · Entity 2823 | Disposition to issuerCommon Stock | 13,821 | $135.04 | $1,866,387.84 |
DisclosureSEC source: 0001225208-19-012422 · doc4.xml · nonDerivative · entry 6 Gill Charles D · CIK 0001395028 · Executive VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,060 Read SEC document |
| September 11, 2019 Filed Sep 13, 2019 20:25 UTC | RTX Corp UTX · Entity 2823 | Disposition to issuerCommon Stock | 13,814 | $135.11 | $1,866,409.54 |
DisclosureSEC source: 0001225208-19-012422 · doc4.xml · nonDerivative · entry 5 Gill Charles D · CIK 0001395028 · Executive VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,881 Read SEC document |
| September 11, 2019 Filed Sep 13, 2019 20:25 UTC | RTX Corp UTX · Entity 2823 | SaleCommon Stock | 11,398 | $134.96 | $1,538,234.19 |
DisclosureSEC source: 0001225208-19-012422 · doc4.xml · nonDerivative · entry 4 Gill Charles D · CIK 0001395028 · Executive VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 78,695 F3 · price: The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $134.95 to $135.03 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 |
| September 11, 2019 Filed Sep 13, 2019 20:25 UTC | RTX Corp UTX · Entity 2823 | SaleCommon Stock | 11,186 | $135.08 | $1,511,012.71 |
DisclosureSEC source: 0001225208-19-012422 · doc4.xml · nonDerivative · entry 3 Gill Charles D · CIK 0001395028 · Executive VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,093 F2 · price: The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $135.07 to $135.15 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 |
| September 11, 2019 Filed Sep 13, 2019 20:25 UTC | RTX Corp UTX · Entity 2823 | SaleCommon Stock | 11,179 | $135.09 | $1,510,120.80 |
DisclosureSEC source: 0001225208-19-012422 · doc4.xml · nonDerivative · entry 2 Gill Charles D · CIK 0001395028 · Executive VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 101,279 Read SEC document |
| September 11, 2019 Filed Sep 13, 2019 20:25 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionCommon Stock | 75,500 | $74.66 | $5,636,830.00 |
DisclosureSEC source: 0001225208-19-012422 · doc4.xml · nonDerivative · entry 1 Gill Charles D · CIK 0001395028 · Executive VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 112,458 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, which in this instance occurred in three lots, 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 |
| September 04, 2019 Filed Sep 6, 2019 20:30 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionStock Appreciation Right · Derivative | 66,500 | $0.00 Strike: $78.99 | $0.00 |
DisclosureSEC source: 0001225208-19-012219 · doc4.xml · derivative · entry 10 Gill Charles D · CIK 0001395028 · Executive VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 66,500 shares Expires 2021-01-02 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 |
| September 04, 2019 Filed Sep 6, 2019 20:30 UTC | RTX Corp UTX · Entity 2823 | Disposition to issuerCommon Stock | 13,517 | $131.48 | $1,777,215.16 |
DisclosureSEC source: 0001225208-19-012219 · doc4.xml · nonDerivative · entry 7 Gill Charles D · CIK 0001395028 · Executive VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,958 Read SEC document |
| September 04, 2019 Filed Sep 6, 2019 20:30 UTC | RTX Corp UTX · Entity 2823 | Disposition to issuerCommon Stock | 13,221 | $131.44 | $1,737,768.24 |
DisclosureSEC source: 0001225208-19-012219 · doc4.xml · nonDerivative · entry 6 Gill Charles D · CIK 0001395028 · Executive VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,475 Read SEC document |
| September 04, 2019 Filed Sep 6, 2019 20:30 UTC | RTX Corp UTX · Entity 2823 | Disposition to issuerCommon Stock | 13,220 | $131.45 | $1,737,769.00 |
DisclosureSEC source: 0001225208-19-012219 · doc4.xml · nonDerivative · entry 5 Gill Charles D · CIK 0001395028 · Executive VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,696 Read SEC document |
| September 04, 2019 Filed Sep 6, 2019 20:30 UTC | RTX Corp UTX · Entity 2823 | SaleCommon Stock | 8,983 | $131.43 | $1,180,635.69 |
DisclosureSEC source: 0001225208-19-012219 · doc4.xml · nonDerivative · entry 4 Gill Charles D · CIK 0001395028 · Executive VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,916 F2 · price: The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $131.40 to $131.45 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 |
| September 04, 2019 Filed Sep 6, 2019 20:30 UTC | RTX Corp UTX · Entity 2823 | SaleCommon Stock | 8,780 | $131.43 | $1,153,955.40 |
DisclosureSEC source: 0001225208-19-012219 · doc4.xml · nonDerivative · entry 3 Gill Charles D · CIK 0001395028 · Executive VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 85,899 Read SEC document |
| September 04, 2019 Filed Sep 6, 2019 20:30 UTC | RTX Corp UTX · Entity 2823 | SaleCommon Stock | 8,779 | $131.41 | $1,153,648.39 |
DisclosureSEC source: 0001225208-19-012219 · doc4.xml · nonDerivative · entry 2 Gill Charles D · CIK 0001395028 · Executive VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,679 Read SEC document |
| September 04, 2019 Filed Sep 6, 2019 20:30 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionCommon Stock | 66,500 | $78.99 | $5,252,835.00 |
DisclosureSEC source: 0001225208-19-012219 · doc4.xml · nonDerivative · entry 1 Gill Charles D · CIK 0001395028 · Executive VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 103,458 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, which in this instance occurred in three lots, 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 12, 2019 Filed Feb 13, 2019 21:34 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionStock Appreciation Right · Derivative | 30,500 | $0.00 Strike: $71.63 | $0.00 |
DisclosureSEC source: 0001225208-19-002446 · doc4.xml · derivative · entry 8 Gill Charles D · CIK 0001395028 · Executive VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 30,500 shares Expires 2020-01-03 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, 2019 Filed Feb 13, 2019 21:34 UTC | RTX Corp UTX · Entity 2823 | Disposition to issuerCommon Stock | 17,658 | $123.72 | $2,184,647.76 |
DisclosureSEC source: 0001225208-19-002446 · doc4.xml · nonDerivative · entry 5 Gill Charles D · CIK 0001395028 · Executive VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,958 Read SEC document |
| February 12, 2019 Filed Feb 13, 2019 21:34 UTC | RTX Corp UTX · Entity 2823 | SaleCommon Stock | 12,842 | $123.67 | $1,588,140.60 |
DisclosureSEC source: 0001225208-19-002446 · doc4.xml · nonDerivative · entry 4 Gill Charles D · CIK 0001395028 · Executive VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,616 F3 · price: The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $123.66 to $123.73 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, 2019 Filed Feb 13, 2019 21:34 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionCommon Stock | 30,500 | $71.63 | $2,184,715.00 |
DisclosureSEC source: 0001225208-19-002446 · doc4.xml · nonDerivative · entry 3 Gill Charles D · CIK 0001395028 · Executive VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,458 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: 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 21:34 UTC | RTX Corp UTX · Entity 2823 | Tax withholdingCommon Stock | 8,045 | $122.72 | $987,282.40 |
DisclosureSEC source: 0001225208-19-002446 · doc4.xml · nonDerivative · entry 2 Gill Charles D · CIK 0001395028 · Executive VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,958 Read SEC document |
| February 11, 2019 Filed Feb 13, 2019 21:34 UTC | RTX Corp UTX · Entity 2823 | GrantCommon Stock | 19,952 | $122.72 | $2,448,509.44 |
DisclosureSEC source: 0001225208-19-002446 · doc4.xml · nonDerivative · entry 1 Gill Charles D · CIK 0001395028 · Executive VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,003 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 21:32 UTC | RTX Corp UTX · Entity 2823 | GrantStock Appreciation Right · Derivative | 84,000 | $120.77 Strike: $120.77 | $10,144,680.00 |
DisclosureSEC source: 0001225208-19-001961 · doc4.xml · derivative · entry 4 Gill Charles D · CIK 0001395028 · Executive VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 84,000 Underlying: Common Stock · 84,000 shares Expires 2029-02-04 F1 · balance_after: The reporting person was also awarded 15,200 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 |
| November 27, 2018 Filed Dec 6, 2018 21:35 UTC | RTX Corp UTX · Entity 2823 | GrantCommon Stock | 22 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-016293 · doc4.xml · nonDerivative · entry 1 Gill Charles D · CIK 0001395028 · Executive VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,051 F1 · price: In connection with UTC's acquisition of Rockwell Collins, Inc. (Rockwell Collins), effective on November 26, 2018, and pursuant to terms and conditions of the Agreement and Plan of Merger, dated as of September 4, 2017 (the Merger Agreement), by and between UTC, Riveter Merger Sub Corp., a wholly owned subsidiary of UTC, and Rockwell Collins, each share of Rockwell Collins common stock was converted into the right to receive (i) $93.33 in cash, without interest and (ii) 0.37525 of a share of UTC common stock and cash in lieu of fractional shares (together, the Merger Consideration) less any applicable withholding taxes. The Reporting Person held 60 shares of Rockwell Collins common stock, which, exchanged for Merger Consideration, resulted in the receipt of 22 shares of UTC common stock. Read SEC document |
| July 26, 2018 Filed Jul 27, 2018 20:33 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionStock Appreciation Right · Derivative | 30,000 | $0.00 Strike: $71.63 | $0.00 |
DisclosureSEC source: 0001225208-18-011979 · doc4.xml · derivative · entry 6 Gill Charles D · CIK 0001395028 · Executive VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,500 Underlying: Common Stock · 30,000 shares Expires 2020-01-03 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 |
| July 26, 2018 Filed Jul 27, 2018 20:33 UTC | RTX Corp UTX · Entity 2823 | Disposition to issuerCommon Stock | 15,745 | $136.48 | $2,148,877.60 |
DisclosureSEC source: 0001225208-18-011979 · doc4.xml · nonDerivative · entry 3 Gill Charles D · CIK 0001395028 · Executive VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,029 Read SEC document |
| July 26, 2018 Filed Jul 27, 2018 20:33 UTC | RTX Corp UTX · Entity 2823 | SaleCommon Stock | 14,255 | $136.43 | $1,944,781.14 |
DisclosureSEC source: 0001225208-18-011979 · doc4.xml · nonDerivative · entry 2 Gill Charles D · CIK 0001395028 · Executive VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,774 F2 · price: The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $136.37 to $136.56 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 |
| July 26, 2018 Filed Jul 27, 2018 20:33 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionCommon Stock | 30,000 | $71.63 | $2,148,900.00 |
DisclosureSEC source: 0001225208-18-011979 · doc4.xml · nonDerivative · entry 1 Gill Charles D · CIK 0001395028 · Executive VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,029 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 |
| May 22, 2018 Filed May 24, 2018 20:32 UTC | RTX Corp UTX · Entity 2823 | SaleCommon Stock | 9,700 | $128.47 | $1,246,203.62 |
DisclosureSEC source: 0001225208-18-009828 · doc4.xml · nonDerivative · entry 1 Gill Charles D · CIK 0001395028 · Executive VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,029 F1 · price: The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $128.46 to $128.50 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, 2018 Filed Feb 14, 2018 21:50 UTC | RTX Corp UTX · Entity 2823 | Tax withholdingCommon Stock | 1,361 | $127.38 | $173,364.18 |
DisclosureSEC source: 0001225208-18-002911 · doc4.xml · nonDerivative · entry 2 Gill Charles D · CIK 0001395028 · Executive VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,729 Read SEC document |
| February 12, 2018 Filed Feb 14, 2018 21:50 UTC | RTX Corp UTX · Entity 2823 | GrantCommon Stock | 4,312 | $127.38 | $549,262.56 |
DisclosureSEC source: 0001225208-18-002911 · doc4.xml · nonDerivative · entry 1 Gill Charles D · CIK 0001395028 · Executive VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,090 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 21:35 UTC | RTX Corp UTX · Entity 2823 | GrantStock Appreciation Right · Derivative | 43,500 | $128.16 Strike: $128.16 | $5,574,960.00 |
DisclosureSEC source: 0001225208-18-000671 · doc4.xml · derivative · entry 5 Gill Charles D · CIK 0001395028 · Executive VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,500 Underlying: Common Stock · 43,500 shares Expires 2028-01-01 F2 · balance_after: The reporting person was also awarded 13,100 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 21:35 UTC | RTX Corp UTX · Entity 2823 | GrantRestricted Stock Units RSU · Derivative | 5,300 | $128.16 | $679,248.00 |
DisclosureSEC source: 0001225208-18-000671 · doc4.xml · derivative · entry 4 Gill Charles D · CIK 0001395028 · Executive VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,300 Underlying: Common Stock · 5,300 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 |
| February 17, 2017 Filed Feb 21, 2017 21:36 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionStock Appreciation Right · Derivative | 74,500 | $0.00 Strike: $54.95 | $0.00 |
DisclosureSEC source: 0001225208-17-003944 · doc4.xml · derivative · entry 6 Gill Charles D · CIK 0001395028 · Executive VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 74,500 shares Expires 2019-01-01 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 17, 2017 Filed Feb 21, 2017 21:36 UTC | RTX Corp UTX · Entity 2823 | SaleCommon Stock | 37,975 | $112.01 | $4,253,765.83 |
DisclosureSEC source: 0001225208-17-003944 · doc4.xml · nonDerivative · entry 3 Gill Charles D · CIK 0001395028 · Executive VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,778 F2 · price: The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $112.00 to $112.14 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 17, 2017 Filed Feb 21, 2017 21:36 UTC | RTX Corp UTX · Entity 2823 | Disposition to issuerCommon Stock | 36,525 | $112.08 | $4,093,722.00 |
DisclosureSEC source: 0001225208-17-003944 · doc4.xml · nonDerivative · entry 2 Gill Charles D · CIK 0001395028 · Executive VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,753 Read SEC document |
| February 17, 2017 Filed Feb 21, 2017 21:36 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionCommon Stock | 74,500 | $54.95 | $4,093,775.00 |
DisclosureSEC source: 0001225208-17-003944 · doc4.xml · nonDerivative · entry 1 Gill Charles D · CIK 0001395028 · Executive VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 106,278 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 06, 2017 Filed Feb 8, 2017 21:42 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionStock Appreciation Right · Derivative | 45,000 | $0.00 Strike: $70.81 | $0.00 |
DisclosureSEC source: 0001225208-17-002661 · doc4.xml · derivative · entry 7 Gill Charles D · CIK 0001395028 · Executive VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 45,000 shares Expires 2018-04-08 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: 50% of the stock appreciation rights became exercisable on April 9, 2011 and the remaining 50% became exercisable on April 9, 2012. Read SEC document |
| February 06, 2017 Filed Feb 8, 2017 21:42 UTC | RTX Corp UTX · Entity 2823 | Disposition to issuerCommon Stock | 19,115 | $111.13 | $2,124,249.95 |
DisclosureSEC source: 0001225208-17-002661 · doc4.xml · nonDerivative · entry 4 Gill Charles D · CIK 0001395028 · Executive VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,778 Read SEC document |
| February 06, 2017 Filed Feb 8, 2017 21:42 UTC | RTX Corp UTX · Entity 2823 | SaleCommon Stock | 16,329 | $111.10 | $1,814,163.33 |
DisclosureSEC source: 0001225208-17-002661 · doc4.xml · nonDerivative · entry 3 Gill Charles D · CIK 0001395028 · Executive VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,893 F2 · price: The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $111.05 to $111.154 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.