Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| RTX CorpUTX · Entity 2823 | President, Otis Elevator | July 01, 2017 | July 06, 2017 |
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 July 01, 2017 · Filed July 06, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 48,635 |
Ending reported balance
After 2017-07-01 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2017-07-01 · Exercise / conversion · Acquired 11,574 · Balance 49,695 F1: Each restricted stock unit (RSU), including dividend equivalents, represents a contingent right to receive one share of UTC Common Stock. Row 2 · 2017-07-01 · Tax withholding · Disposed 1,060 · Balance 48,635 |
| Restricted Stock Units RSUSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2017-07-01 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2017-07-01 · Exercise / conversion · Disposed 11,574 · Balance 0 F1: Each restricted stock unit (RSU), including dividend equivalents, represents a contingent right to receive one share of UTC Common Stock. F2: On July 1, 2013, the reporting person was granted 21,110 RSUs, which included the right to receive dividend equivalents. On July 1, 2015, the second anniversary of the grant date, 11,005 RSUs, which included accumulated dividend equivalents, vested. On July 1, 2017, the remaining RSUs, including accumulated dividend equivalents, vested. |
Filing footnotes · ownership attribution and instrument terms
F1: Each restricted stock unit (RSU), including dividend equivalents, represents a contingent right to receive one share of UTC Common Stock.
F2: On July 1, 2013, the reporting person was granted 21,110 RSUs, which included the right to receive dividend equivalents. On July 1, 2015, the second anniversary of the grant date, 11,005 RSUs, which included accumulated dividend equivalents, vested. On July 1, 2017, the remaining RSUs, including accumulated dividend equivalents, vested.
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 |
|---|---|---|---|---|---|---|
| July 01, 2017 Filed Jul 6, 2017 20:33 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionRestricted Stock Units RSU · Derivative | 11,574 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-012348 · doc4.xml · derivative · entry 3 DELPECH PHILIPPE · CIK 0001652945 · President, Otis Elevator 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 11,574 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 July 1, 2013, the reporting person was granted 21,110 RSUs, which included the right to receive dividend equivalents. On July 1, 2015, the second anniversary of the grant date, 11,005 RSUs, which included accumulated dividend equivalents, vested. On July 1, 2017, the remaining RSUs, including accumulated dividend equivalents, vested. F2 · derivative.expiration_date: On July 1, 2013, the reporting person was granted 21,110 RSUs, which included the right to receive dividend equivalents. On July 1, 2015, the second anniversary of the grant date, 11,005 RSUs, which included accumulated dividend equivalents, vested. On July 1, 2017, the remaining RSUs, including accumulated dividend equivalents, vested. Read SEC document |
| July 01, 2017 Filed Jul 6, 2017 20:33 UTC | RTX Corp UTX · Entity 2823 | Tax withholdingCommon Stock | 1,060 | $122.08 | $129,404.80 |
DisclosureSEC source: 0001225208-17-012348 · doc4.xml · nonDerivative · entry 2 DELPECH PHILIPPE · CIK 0001652945 · President, Otis Elevator 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,635 Read SEC document |
| July 01, 2017 Filed Jul 6, 2017 20:33 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionCommon Stock | 11,574 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-012348 · doc4.xml · nonDerivative · entry 1 DELPECH PHILIPPE · CIK 0001652945 · President, Otis Elevator 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,695 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 |
| May 03, 2017 Filed May 4, 2017 20:32 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionStock Appreciation Right · Derivative | 25,500 | $0.00 Strike: $84.00 | $0.00 |
DisclosureSEC source: 0001225208-17-009148 · doc4.xml · derivative · entry 4 DELPECH PHILIPPE · CIK 0001652945 · President, Otis Elevator 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 25,500 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 |
| May 03, 2017 Filed May 4, 2017 20:32 UTC | RTX Corp UTX · Entity 2823 | Disposition to issuerCommon Stock | 17,804 | $120.31 | $2,141,999.24 |
DisclosureSEC source: 0001225208-17-009148 · doc4.xml · nonDerivative · entry 3 DELPECH PHILIPPE · CIK 0001652945 · President, Otis Elevator 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,121 Read SEC document |
| May 03, 2017 Filed May 4, 2017 20:32 UTC | RTX Corp UTX · Entity 2823 | SaleCommon Stock | 7,696 | $120.32 | $925,992.72 |
DisclosureSEC source: 0001225208-17-009148 · doc4.xml · nonDerivative · entry 2 DELPECH PHILIPPE · CIK 0001652945 · President, Otis Elevator 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,925 F2 · price: The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $120.32 to $120.325 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 |
| May 03, 2017 Filed May 4, 2017 20:32 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionCommon Stock | 25,500 | $84.00 | $2,142,000.00 |
DisclosureSEC source: 0001225208-17-009148 · doc4.xml · nonDerivative · entry 1 DELPECH PHILIPPE · CIK 0001652945 · President, Otis Elevator 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,621 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 |
| January 03, 2017 Filed Jan 5, 2017 21:35 UTC | RTX Corp UTX · Entity 2823 | GrantRestricted Stock Units RSU · Derivative | 7,400 | $110.83 | $820,142.00 |
DisclosureSEC source: 0001225208-17-000718 · doc4.xml · derivative · entry 3 DELPECH PHILIPPE · CIK 0001652945 · President, Otis Elevator 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,400 Underlying: Common Stock · 7,400 shares Expires not disclosed F2 · 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.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 21:35 UTC | RTX Corp UTX · Entity 2823 | GrantNon-Qualified Stock Option (right to buy) · Derivative | 55,000 | $110.83 Strike: $110.83 | $6,095,650.00 |
DisclosureSEC source: 0001225208-17-000718 · doc4.xml · derivative · entry 2 DELPECH PHILIPPE · CIK 0001652945 · President, Otis Elevator 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,000 Underlying: Common Stock · 55,000 shares Expires 2027-01-02 F1 · balance_after: The reporting person was also awarded 18,300 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 |
| July 28, 2016 Filed Aug 1, 2016 21:04 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionNon-Qualified Stock Option (right to buy) · Derivative | 10,100 | $0.00 Strike: $71.63 | $0.00 |
DisclosureSEC source: 0001225208-16-037256 · doc4.xml · derivative · entry 7 DELPECH PHILIPPE · CIK 0001652945 · President, Otis Elevator 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,100 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 28, 2016 Filed Aug 1, 2016 21:04 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionNon-Qualified Stock Option (right to buy) · Derivative | 18,400 | $0.00 Strike: $74.66 | $0.00 |
DisclosureSEC source: 0001225208-16-037256 · doc4.xml · derivative · entry 6 DELPECH PHILIPPE · CIK 0001652945 · President, Otis Elevator 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 18,400 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 |
| July 28, 2016 Filed Aug 1, 2016 21:04 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionNon-Qualified Stock Option (right to buy) · Derivative | 12,300 | $0.00 Strike: $78.99 | $0.00 |
DisclosureSEC source: 0001225208-16-037256 · doc4.xml · derivative · entry 5 DELPECH PHILIPPE · CIK 0001652945 · President, Otis Elevator 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 12,300 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 |
| July 28, 2016 Filed Aug 1, 2016 21:04 UTC | RTX Corp UTX · Entity 2823 | SaleCommon Stock | 40,800 | $107.72 | $4,395,065.76 |
DisclosureSEC source: 0001225208-16-037256 · doc4.xml · nonDerivative · entry 4 DELPECH PHILIPPE · CIK 0001652945 · President, Otis Elevator 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,121 F1 · price: The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices ranged from $107.645 to $107.810 per share. Upon request, the reporting person will provide to the Commission staff, the issuer, or a security holder of the issuer full information regarding the number of shares sold at each separate price. Read SEC document |
| July 28, 2016 Filed Aug 1, 2016 21:04 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionCommon Stock | 10,100 | $71.63 | $723,463.00 |
DisclosureSEC source: 0001225208-16-037256 · doc4.xml · nonDerivative · entry 3 DELPECH PHILIPPE · CIK 0001652945 · President, Otis Elevator 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 78,921 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 28, 2016 Filed Aug 1, 2016 21:04 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionCommon Stock | 12,300 | $78.99 | $971,577.00 |
DisclosureSEC source: 0001225208-16-037256 · doc4.xml · nonDerivative · entry 2 DELPECH PHILIPPE · CIK 0001652945 · President, Otis Elevator 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,821 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 28, 2016 Filed Aug 1, 2016 21:04 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionCommon Stock | 18,400 | $74.66 | $1,373,744.00 |
DisclosureSEC source: 0001225208-16-037256 · doc4.xml · nonDerivative · entry 1 DELPECH PHILIPPE · CIK 0001652945 · President, Otis Elevator 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,521 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 10, 2016 Filed Feb 12, 2016 22:05 UTC | RTX Corp UTX · Entity 2823 | GrantCommon Stock | 2,728 | $86.96 | $237,226.88 |
DisclosureSEC source: 0001225208-16-026336 · doc4.xml · nonDerivative · entry 1 DELPECH PHILIPPE · CIK 0001652945 · President, Otis Elevator 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,121 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 |
| February 08, 2016 Filed Feb 10, 2016 22:05 UTC | RTX Corp UTX · Entity 2823 | GrantStock Appreciation Right · Derivative | 32,804 | $112.49 Strike: $112.49 | $3,690,121.96 |
DisclosureSEC source: 0001225208-16-026004 · doc4.xml · derivative · entry 2 DELPECH PHILIPPE · CIK 0001652945 · President, Otis Elevator 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,804 Underlying: Common Stock · 32,804 shares Expires 2024-01-01 F1 · date: On January 1, 2014, the reporting person was granted 69,500 performance stock appreciation rights (PSARs), 50% of which became exercisable on February 10, 2016. The performance period for the remaining 50% will end on December 31, 2017, and any earned stock appreciation rights (SARs) will become exercisable in February 2018. Vesting of these awards is subject to achievement of pre-established business unit earnings, sales and other financial targets, and final review of company financial results by the Board. The performance criteria were satisfied at the 94.4% level for the first 50% of the grant, resulting in the vesting of 32,804 stock appreciation rights and the cancellation of 1,946 stock appreciation rights. F1 · shares: On January 1, 2014, the reporting person was granted 69,500 performance stock appreciation rights (PSARs), 50% of which became exercisable on February 10, 2016. The performance period for the remaining 50% will end on December 31, 2017, and any earned stock appreciation rights (SARs) will become exercisable in February 2018. Vesting of these awards is subject to achievement of pre-established business unit earnings, sales and other financial targets, and final review of company financial results by the Board. The performance criteria were satisfied at the 94.4% level for the first 50% of the grant, resulting in the vesting of 32,804 stock appreciation rights and the cancellation of 1,946 stock appreciation rights. F1 · derivative.underlying_shares: On January 1, 2014, the reporting person was granted 69,500 performance stock appreciation rights (PSARs), 50% of which became exercisable on February 10, 2016. The performance period for the remaining 50% will end on December 31, 2017, and any earned stock appreciation rights (SARs) will become exercisable in February 2018. Vesting of these awards is subject to achievement of pre-established business unit earnings, sales and other financial targets, and final review of company financial results by the Board. The performance criteria were satisfied at the 94.4% level for the first 50% of the grant, resulting in the vesting of 32,804 stock appreciation rights and the cancellation of 1,946 stock appreciation rights. Read SEC document |
| January 04, 2016 Filed Jan 6, 2016 22:04 UTC | RTX Corp UTX · Entity 2823 | GrantStock Appreciation Right · Derivative | 132,000 | $95.57 Strike: $95.57 | $12,615,240.00 |
DisclosureSEC source: 0001225208-16-023802 · doc4.xml · derivative · entry 2 DELPECH PHILIPPE · CIK 0001652945 · President, Otis Elevator 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 132,000 Underlying: Common Stock · 132,000 shares Expires 2026-01-03 F1 · balance_after: The reporting person was also awarded 26,400 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 |
| January 04, 2016 Filed Nov 18, 2016 22:03 UTC Amendment | RTX Corp UTX · Entity 2823 | GrantNon-Qualified Stock Option (right to buy) · Derivative | 132,000 | $95.57 Strike: $95.57 | $12,615,240.00 |
DisclosureSEC source: 0001225208-16-042000 · doc4a.xml · derivative · entry 1 DELPECH PHILIPPE · CIK 0001652945 · President, Otis Elevator 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 132,000 Underlying: Common Stock · 132,000 shares Expires 2026-01-03 F1 · security: The Form 4 filed on January 6, 2016 mistakenly reported that the reporting person was awarded stock appreciation rights ("SARs"). The reporting person was awarded non-qualified stock options. 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.