Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ITT INC.ITT · Entity 8806 | Director | May 18, 2022 | May 19, 2022 |
| RTX CorpUTX · Entity 2823 | Pres. & CEO, UTC Bldg. & Ind. | March 13, 2015 | March 17, 2015 |
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.
ITT INC.
Report date May 18, 2022 · Filed May 19, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 26,474 |
Reported balance
After 2022-05-18 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2022-05-18 · Grant · Acquired 1,999 · Balance 26,474 F1: Reflects an award of restricted stock units, all of which are scheduled to vest on the business day immediately prior to the ITT 2023 Annual Meeting of Shareholders. F2: Includes 183 shares under a dividend reinvestment plan. |
Filing footnotes · ownership attribution and instrument terms
F1: Reflects an award of restricted stock units, all of which are scheduled to vest on the business day immediately prior to the ITT 2023 Annual Meeting of Shareholders.
F2: Includes 183 shares under a dividend reinvestment plan.
RTX Corp
Report date March 13, 2015 · Filed March 17, 2015
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 151,191.4025 |
Ending reported balance
After 2015-03-13 transaction · row 6
6 source rows · reconciled sequenceRow 1 · 2015-03-13 · Exercise / conversion · Acquired 200,000 · Balance 351,191.4025 Row 2 · 2015-03-13 · Exercise / conversion · Acquired 101,500 · Balance 452,691.4025 Row 3 · 2015-03-13 · Sale · Disposed 8,000 · Balance 444,691.4025 F1: The price reported in Column 4 is a weighted average price. Row 4 · 2015-03-13 · Disposition to issuer · Disposed 47,408 · Balance 397,283.4025 Row 5 · 2015-03-13 · Disposition to issuer · Disposed 95,579 · Balance 301,704.4025 Row 6 · 2015-03-13 · Sale · Disposed 150,513 · Balance 151,191.4025 F1: The price reported in Column 4 is a weighted average price. |
| Stock Appreciation RightSEC Table II · derivative / convertible security · Conversion / exercise price $56.53 · Expires 2016-01-02 | Direct | 0 |
Reported balance
After 2015-03-13 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2015-03-13 · Exercise / conversion · Disposed 101,500 · Balance 0 |
| Stock Appreciation RightSEC Table II · derivative / convertible security · Conversion / exercise price $57.84 · Expires 2016-03-07 | Direct | 0 |
Reported balance
After 2015-03-13 transaction · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 12 · 2015-03-13 · Exercise / conversion · Disposed 200,000 · Balance 0 |
| Common Stock (Career Restricted)SEC Table I · non-derivative | Direct | 4,224 |
Reported balance
Holding disclosure · report date 2015-03-13 · row 7
Holding and transaction disclosures are not merged.
1 source rowRow 7 · Balance 4,224 |
| Common StockSEC Table I · non-derivative | IndirectBy Savings Plan Trustee | 10,681 |
Reported balance
Holding disclosure · report date 2015-03-13 · row 8
Holding and transaction disclosures are not merged.
1 source rowRow 8 · Balance 10,681 |
| Common StockSEC Table I · non-derivative | IndirectTrust 3 | 11,834 |
Reported balance
Holding disclosure · report date 2015-03-13 · row 9
Holding and transaction disclosures are not merged.
1 source rowRow 9 · Balance 11,834 |
| Common StockSEC Table I · non-derivative | IndirectTrust 4 | 24,000 |
Reported balance
Holding disclosure · report date 2015-03-13 · row 10
Holding and transaction disclosures are not merged.
1 source rowRow 10 · Balance 24,000 |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price.
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 |
|---|---|---|---|---|---|---|
| May 18, 2022 Filed May 19, 2022 21:09 UTC | ITT INC. ITT · Entity 8806 | GrantCommon Stock | 1,999 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-030617 · doc4.xml · nonDerivative · entry 1 DARNIS GERAUD · CIK 0001184185 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,474 F1 · shares: Reflects an award of restricted stock units, all of which are scheduled to vest on the business day immediately prior to the ITT 2023 Annual Meeting of Shareholders. F2 · balance_after: Includes 183 shares under a dividend reinvestment plan. Read SEC document |
| May 19, 2021 Filed May 21, 2021 01:09 UTC | ITT INC. ITT · Entity 8806 | GrantCommon Stock | 1,359 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-020300 · doc4.xml · nonDerivative · entry 1 DARNIS GERAUD · CIK 0001184185 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,475 F1 · shares: Reflects an award of restricted stock units, all of which are scheduled to vest on the business day immediately prior to the ITT 2022 Annual Meeting of Shareholders. F2 · balance_after: Includes 183 shares under a dividend reinvestment plan. Read SEC document |
| May 15, 2020 Filed May 19, 2020 20:16 UTC | ITT INC. ITT · Entity 8806 | GrantCommon Stock | 2,062 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-20-013573 · doc4.xml · nonDerivative · entry 1 DARNIS GERAUD · CIK 0001184185 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,116 F1 · shares: Reflects an award of restricted stock units, all of which are scheduled to vest on the business day immediately prior to the ITT 2021 Annual Meeting of Shareholders. F2 · balance_after: Includes 183 shares under a dividend reinvestment plan. This amount does not include a fractional share of 0.468 that was disposed of when the reporting person transferred shares from one account to another because the transfer could only be completed for whole shares. Read SEC document |
| May 22, 2019 Filed May 24, 2019 00:30 UTC | ITT INC. ITT · Entity 8806 | GrantCommon Stock | 2,106 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-19-014644 · doc4.xml · nonDerivative · entry 1 DARNIS GERAUD · CIK 0001184185 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,008.879 F1 · shares: Reflects an award of restricted stock units, all of which are scheduled to vest on the business day immediately prior to the ITT 2020 Annual Meeting of Shareholders. F2 · balance_after: Includes 137.879 shares under a dividend reinvestment plan. Read SEC document |
| May 23, 2018 Filed May 25, 2018 01:24 UTC | ITT INC. ITT · Entity 8806 | GrantCommon Stock | 1,860 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-013980 · doc4.xml · nonDerivative · entry 1 DARNIS GERAUD · CIK 0001184185 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,835.544 F1 · shares: Reflects an award of restricted stock units, all of which are scheduled to vest on the business day immediately prior to the ITT Inc. 2019 Annual Meeting of Shareholders. F2 · balance_after: Includes 70.544 shares under a dividend reinvestment plan. Read SEC document |
| May 10, 2017 Filed May 11, 2017 20:58 UTC | ITT INC. ITT · Entity 8806 | GrantCommon Stock | 2,399 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-012857 · doc4.xml · nonDerivative · entry 1 DARNIS GERAUD · CIK 0001184185 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,926.881 F1 · shares: Reflects an award of restricted stock units, all of which are scheduled to vest on the business day immediately prior to the ITT Inc. 2018 Annual Meeting of Shareholders. F2 · balance_after: Includes 21.881 shares under a dividend reinvestment plan. Read SEC document |
| March 13, 2015 Filed Mar 17, 2015 21:20 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionStock Appreciation Right · Derivative | 200,000 | $0.00 Strike: $57.84 | $0.00 |
DisclosureSEC source: 0001225208-15-008068 · doc4.xml · derivative · entry 12 DARNIS GERAUD · CIK 0001184185 · Pres. & CEO, UTC Bldg. & Ind. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 200,000 shares Expires 2016-03-07 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 |
| March 13, 2015 Filed Mar 17, 2015 21:20 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionStock Appreciation Right · Derivative | 101,500 | $0.00 Strike: $56.53 | $0.00 |
DisclosureSEC source: 0001225208-15-008068 · doc4.xml · derivative · entry 11 DARNIS GERAUD · CIK 0001184185 · Pres. & CEO, UTC Bldg. & Ind. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 101,500 shares Expires 2016-01-02 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 |
| March 13, 2015 Filed Mar 17, 2015 21:20 UTC | RTX Corp UTX · Entity 2823 | SaleCommon Stock | 150,513 | $121.24 | $18,247,594.07 |
DisclosureSEC source: 0001225208-15-008068 · doc4.xml · nonDerivative · entry 6 DARNIS GERAUD · CIK 0001184185 · Pres. & CEO, UTC Bldg. & Ind. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 151,191.4025 F1 · price: The price reported in Column 4 is a weighted average price. Read SEC document |
| March 13, 2015 Filed Mar 17, 2015 21:20 UTC | RTX Corp UTX · Entity 2823 | Disposition to issuerCommon Stock | 95,579 | $121.03 | $11,567,926.37 |
DisclosureSEC source: 0001225208-15-008068 · doc4.xml · nonDerivative · entry 5 DARNIS GERAUD · CIK 0001184185 · Pres. & CEO, UTC Bldg. & Ind. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 301,704.4025 Read SEC document |
| March 13, 2015 Filed Mar 17, 2015 21:20 UTC | RTX Corp UTX · Entity 2823 | Disposition to issuerCommon Stock | 47,408 | $121.03 | $5,737,790.24 |
DisclosureSEC source: 0001225208-15-008068 · doc4.xml · nonDerivative · entry 4 DARNIS GERAUD · CIK 0001184185 · Pres. & CEO, UTC Bldg. & Ind. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 397,283.4025 Read SEC document |
| March 13, 2015 Filed Mar 17, 2015 21:20 UTC | RTX Corp UTX · Entity 2823 | SaleCommon Stock | 8,000 | $118.59 | $948,726.40 |
DisclosureSEC source: 0001225208-15-008068 · doc4.xml · nonDerivative · entry 3 DARNIS GERAUD · CIK 0001184185 · Pres. & CEO, UTC Bldg. & Ind. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 444,691.4025 F1 · price: The price reported in Column 4 is a weighted average price. Read SEC document |
| March 13, 2015 Filed Mar 17, 2015 21:20 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionCommon Stock | 101,500 | $56.53 | $5,737,795.00 |
DisclosureSEC source: 0001225208-15-008068 · doc4.xml · nonDerivative · entry 2 DARNIS GERAUD · CIK 0001184185 · Pres. & CEO, UTC Bldg. & Ind. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 452,691.4025 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 |
| March 13, 2015 Filed Mar 17, 2015 21:20 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionCommon Stock | 200,000 | $57.84 | $11,568,000.00 |
DisclosureSEC source: 0001225208-15-008068 · doc4.xml · nonDerivative · entry 1 DARNIS GERAUD · CIK 0001184185 · Pres. & CEO, UTC Bldg. & Ind. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 351,191.4025 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 09, 2015 Filed Feb 11, 2015 22:10 UTC | RTX Corp UTX · Entity 2823 | Tax withholdingCommon Stock | 636.11 | $119.32 | $75,900.65 |
DisclosureSEC source: 0001225208-15-003587 · doc4.xml · nonDerivative · entry 2 DARNIS GERAUD · CIK 0001184185 · Pres. & CEO, UTC Bldg. & Ind. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 174,895.3379 Read SEC document |
| February 09, 2015 Filed Feb 11, 2015 22:10 UTC | RTX Corp UTX · Entity 2823 | GrantCommon Stock | 27,270 | $119.32 | $3,253,856.40 |
DisclosureSEC source: 0001225208-15-003587 · doc4.xml · nonDerivative · entry 1 DARNIS GERAUD · CIK 0001184185 · Pres. & CEO, UTC Bldg. & Ind. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 175,531.4479 F1 · shares: The reporting person acquired UTC deferred stock units upon the vesting of performance share units (PSUs) previously awarded on January 3, 2012 to the reporting person under 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 and total shareholder return over a three-year performance period. The reporting person previously elected to defer receipt of the actual shares of common stock that otherwise would be received upon the vesting of these PSUs and acquired instead of deferred stock units that settle exclusively in shares and are included in Table 1 as common stock equivalents. Each deferred stock unit has a value equal to one share of UTC common stock. Read SEC document |
| January 09, 2015 Filed Feb 11, 2015 22:10 UTC | RTX Corp UTX · Entity 2823 | GiftCommon Stock | 5,984 | $114.26 | $683,701.92 |
DisclosureSEC source: 0001225208-15-003587 · doc4.xml · nonDerivative · entry 4 DARNIS GERAUD · CIK 0001184185 · Pres. & CEO, UTC Bldg. & Ind. 10b5-1 filing: Not disclosed Ownership: Indirect · Trust 3 Disclosed balance after: 11,834 Read SEC document |
| January 09, 2015 Filed Feb 11, 2015 22:10 UTC | RTX Corp UTX · Entity 2823 | GiftCommon Stock | 5,984 | $114.26 | $683,701.92 |
DisclosureSEC source: 0001225208-15-003587 · doc4.xml · nonDerivative · entry 3 DARNIS GERAUD · CIK 0001184185 · Pres. & CEO, UTC Bldg. & Ind. 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust 2 Disclosed balance after: 0 Read SEC document |
| January 02, 2015 Filed Jan 6, 2015 22:10 UTC | RTX Corp UTX · Entity 2823 | GrantStock Appreciation Right · Derivative | 92,000 | $115.04 Strike: $115.04 | $10,583,680.00 |
DisclosureSEC source: 0001225208-15-000844 · doc4.xml · derivative · entry 6 DARNIS GERAUD · CIK 0001184185 · Pres. & CEO, UTC Bldg. & Ind. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 92,000 Underlying: Common Stock · 92,000 shares Expires 2025-01-01 F1 · balance_after: The reporting person was also awarded 22,000 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 UTCs earnings per share and total shareholder return over a three year time period. Read SEC document |
| August 22, 2014 Filed Aug 26, 2014 21:13 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionNon-Qualified Stock Option (right to buy) · Derivative | 50,000 | $0.00 Strike: $51.50 | $0.00 |
DisclosureSEC source: 0001225208-14-019138 · doc4.xml · derivative · entry 7 DARNIS GERAUD · CIK 0001184185 · Pres. & CEO, UTC Bldg. & Ind. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 50,000 shares Expires 2015-01-02 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 |
| August 22, 2014 Filed Aug 26, 2014 21:13 UTC | RTX Corp UTX · Entity 2823 | SaleCommon Stock | 50,000 | $109.45 | $5,472,300.00 |
DisclosureSEC source: 0001225208-14-019138 · doc4.xml · nonDerivative · entry 2 DARNIS GERAUD · CIK 0001184185 · Pres. & CEO, UTC Bldg. & Ind. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 138,243.4326 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold at prices ranging from $109. 37 to $109.54. Upon request UTC will provide full information as to shares sold at each separate price. Read SEC document |
| August 22, 2014 Filed Aug 26, 2014 21:13 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionCommon Stock | 50,000 | $51.50 | $2,575,000.00 |
DisclosureSEC source: 0001225208-14-019138 · doc4.xml · nonDerivative · entry 1 DARNIS GERAUD · CIK 0001184185 · Pres. & CEO, UTC Bldg. & Ind. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 188,243.4326 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, 2014 Filed Feb 12, 2014 22:57 UTC | RTX Corp UTX · Entity 2823 | Tax withholdingCommon Stock | 7,949.942 | $111.60 | $887,213.53 |
DisclosureSEC source: 0001225208-14-004382 · doc4.xml · nonDerivative · entry 2 DARNIS GERAUD · CIK 0001184185 · Pres. & CEO, UTC Bldg. & Ind. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 137,972.6545 Read SEC document |
| February 10, 2014 Filed Feb 12, 2014 22:57 UTC | RTX Corp UTX · Entity 2823 | GrantCommon Stock | 31,144 | $111.60 | $3,475,670.40 |
DisclosureSEC source: 0001225208-14-004382 · doc4.xml · nonDerivative · entry 1 DARNIS GERAUD · CIK 0001184185 · Pres. & CEO, UTC Bldg. & Ind. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 145,922.5965 F1 · shares: The reporting person acquired 15,572 shares of UTC common stock and 15,572 UTC deferred stock units upon the vesting of performance share units (PSUs) previously awarded on January 3, 2011 to the reporting person under the UTC 2005 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 and total shareholder return over a three-year performance period. The reporting person previously elected to defer receipt of a portion of the actual shares of common stock that otherwise would be received upon the vesting of these PSUs and in respect of that portion of the vested units acquired instead deferred stock units that settle exclusively in shares and are included in Table I as common stock equivalents. Each deferred stock unit has a value equal to one share of UTC common stock. Read SEC document |
| January 23, 2014 Filed Jan 27, 2014 22:18 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionNon-Qualified Stock Option (right to buy) · Derivative | 50,000 | $0.00 Strike: $51.50 | $0.00 |
DisclosureSEC source: 0001225208-14-002421 · doc4.xml · derivative · entry 9 DARNIS GERAUD · CIK 0001184185 · Pres. & CEO, UTC Bldg. & Ind. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 50,000 shares Expires 2015-01-02 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 23, 2014 Filed Jan 27, 2014 22:18 UTC | RTX Corp UTX · Entity 2823 | Tax withholdingCommon Stock | 22,176 | $116.12 | $2,575,077.12 |
DisclosureSEC source: 0001225208-14-002421 · doc4.xml · nonDerivative · entry 4 DARNIS GERAUD · CIK 0001184185 · Pres. & CEO, UTC Bldg. & Ind. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 114,778.5965 Read SEC document |
| January 23, 2014 Filed Jan 27, 2014 22:18 UTC | RTX Corp UTX · Entity 2823 | SaleCommon Stock | 15,476 | $114.77 | $1,776,132.54 |
DisclosureSEC source: 0001225208-14-002421 · doc4.xml · nonDerivative · entry 3 DARNIS GERAUD · CIK 0001184185 · Pres. & CEO, UTC Bldg. & Ind. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 136,954.5965 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold at prices ranging from 114.67 to 115.00. Upon request, UTC will provide full information as to shares sold at each separate price. Read SEC document |
| January 23, 2014 Filed Jan 27, 2014 22:18 UTC | RTX Corp UTX · Entity 2823 | Tax withholdingCommon Stock | 12,348 | $116.12 | $1,433,849.76 |
DisclosureSEC source: 0001225208-14-002421 · doc4.xml · nonDerivative · entry 2 DARNIS GERAUD · CIK 0001184185 · Pres. & CEO, UTC Bldg. & Ind. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 152,430.5965 Read SEC document |
| January 23, 2014 Filed Jan 27, 2014 22:18 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionCommon Stock | 50,000 | $51.50 | $2,575,000.00 |
DisclosureSEC source: 0001225208-14-002421 · doc4.xml · nonDerivative · entry 1 DARNIS GERAUD · CIK 0001184185 · Pres. & CEO, UTC Bldg. & Ind. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 164,778.5965 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 02, 2014 Filed Jan 6, 2014 22:19 UTC | RTX Corp UTX · Entity 2823 | GrantStock Appreciation Right · Derivative | 69,000 | $112.49 Strike: $112.49 | $7,761,810.00 |
DisclosureSEC source: 0001225208-14-001029 · doc4.xml · derivative · entry 7 DARNIS GERAUD · CIK 0001184185 · Pres. & CEO, UTC Bldg. & Ind. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,000 Underlying: Common Stock · 69,000 shares Expires 2024-01-01 F2 · balance_after: The reporting person was also awarded 18,000 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 acheivement of pre-established performance targets for UTC's earnings per share and total shareholder return over a three year time period. Read SEC document |
| January 02, 2014 Filed Jan 6, 2014 22:19 UTC | RTX Corp UTX · Entity 2823 | GrantStock Appreciation Right · Derivative | 139,000 | $112.49 Strike: $112.49 | $15,636,110.00 |
DisclosureSEC source: 0001225208-14-001029 · doc4.xml · derivative · entry 6 DARNIS GERAUD · CIK 0001184185 · Pres. & CEO, UTC Bldg. & Ind. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 139,000 Underlying: Common Stock · 139,000 shares Expires 2024-01-01 F1 · derivative.exercise_date: 50% of the stock appreciation rights become exercisable on 12/31/2015 and 50% of the stock appreciation rights become exercisable on 12/31/2017, subject to the achievement of pre-established UTC Building & Industrial Systems earnings, sales and other financial targets. Read SEC document |
| December 23, 2013 Filed Dec 26, 2013 22:10 UTC | RTX Corp UTX · Entity 2823 | GiftCommon Stock | 5,850 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-026038 · doc4.xml · nonDerivative · entry 6 DARNIS GERAUD · CIK 0001184185 · Pres. & CEO, UTC Bldg. & Ind. 10b5-1 filing: Not disclosed Ownership: Indirect · Trust 3 Disclosed balance after: 5,850 F1 · shares: 10,074 shares held in a grantor retained annuity trust (GRAT) for the benefit of the reporting person and his family were distributed to the reporting person pursuant to an annuity obligation. The remaining 5,850 shares held in the GRAT were gifted to a family trust for the benefit of the reporting person's children. Read SEC document |
| December 23, 2013 Filed Dec 26, 2013 22:10 UTC | RTX Corp UTX · Entity 2823 | GiftCommon Stock | 8,342 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-026038 · doc4.xml · nonDerivative · entry 5 DARNIS GERAUD · CIK 0001184185 · Pres. & CEO, UTC Bldg. & Ind. 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust 2 Disclosed balance after: 15,710 F2 · shares: 8,342 shares held in another GRAT were distributed to the reporting person pursuant to an annuity obligation. Read SEC document |
| December 23, 2013 Filed Dec 26, 2013 22:10 UTC | RTX Corp UTX · Entity 2823 | GiftCommon Stock | 10,074 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-026038 · doc4.xml · nonDerivative · entry 4 DARNIS GERAUD · CIK 0001184185 · Pres. & CEO, UTC Bldg. & Ind. 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 0 F1 · shares: 10,074 shares held in a grantor retained annuity trust (GRAT) for the benefit of the reporting person and his family were distributed to the reporting person pursuant to an annuity obligation. The remaining 5,850 shares held in the GRAT were gifted to a family trust for the benefit of the reporting person's children. Read SEC document |
| December 23, 2013 Filed Dec 26, 2013 22:10 UTC | RTX Corp UTX · Entity 2823 | GiftCommon Stock | 5,850 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-026038 · doc4.xml · nonDerivative · entry 3 DARNIS GERAUD · CIK 0001184185 · Pres. & CEO, UTC Bldg. & Ind. 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 10,074 F1 · shares: 10,074 shares held in a grantor retained annuity trust (GRAT) for the benefit of the reporting person and his family were distributed to the reporting person pursuant to an annuity obligation. The remaining 5,850 shares held in the GRAT were gifted to a family trust for the benefit of the reporting person's children. Read SEC document |
| December 23, 2013 Filed Dec 26, 2013 22:10 UTC | RTX Corp UTX · Entity 2823 | GiftCommon Stock | 8,342 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-026038 · doc4.xml · nonDerivative · entry 2 DARNIS GERAUD · CIK 0001184185 · Pres. & CEO, UTC Bldg. & Ind. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 114,778.5965 F2 · shares: 8,342 shares held in another GRAT were distributed to the reporting person pursuant to an annuity obligation. Read SEC document |
| December 23, 2013 Filed Dec 26, 2013 22:10 UTC | RTX Corp UTX · Entity 2823 | GiftCommon Stock | 10,074 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-026038 · doc4.xml · nonDerivative · entry 1 DARNIS GERAUD · CIK 0001184185 · Pres. & CEO, UTC Bldg. & Ind. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 106,436.5965 F1 · shares: 10,074 shares held in a grantor retained annuity trust (GRAT) for the benefit of the reporting person and his family were distributed to the reporting person pursuant to an annuity obligation. The remaining 5,850 shares held in the GRAT were gifted to a family trust for the benefit of the reporting person's children. Read SEC document |
| August 13, 2013 Filed Aug 14, 2013 21:51 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionNon-Qualified Stock Option (right to buy) · Derivative | 51,000 | $0.00 Strike: $51.50 | $0.00 |
DisclosureSEC source: 0001225208-13-017823 · doc4.xml · derivative · entry 7 DARNIS GERAUD · CIK 0001184185 · Pres. & CEO, UTC Climate, Cont 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 51,000 shares Expires 2015-01-02 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 |
| August 13, 2013 Filed Aug 14, 2013 21:51 UTC | RTX Corp UTX · Entity 2823 | SaleCommon Stock | 51,000 | $106.84 | $5,448,666.60 |
DisclosureSEC source: 0001225208-13-017823 · doc4.xml · nonDerivative · entry 2 DARNIS GERAUD · CIK 0001184185 · Pres. & CEO, UTC Climate, Cont 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 96,240.3007 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $106.73 to $106.99. Upon request, UTC will provide full information as to the shares sold at each separate price. Read SEC document |
| August 13, 2013 Filed Aug 14, 2013 21:51 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionCommon Stock | 51,000 | $51.50 | $2,626,500.00 |
DisclosureSEC source: 0001225208-13-017823 · doc4.xml · nonDerivative · entry 1 DARNIS GERAUD · CIK 0001184185 · Pres. & CEO, UTC Climate, Cont 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 147,240.3007 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 11, 2013 Filed Feb 13, 2013 22:09 UTC | RTX Corp UTX · Entity 2823 | Tax withholdingCommon Stock | 6,092.3785 | $89.61 | $545,938.04 |
DisclosureSEC source: 0001225208-13-003975 · doc4.xml · nonDerivative · entry 2 DARNIS GERAUD · CIK 0001184185 · Pres. & CEO, UTC Climate, Cont 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 96,106.6214 Read SEC document |
| February 11, 2013 Filed Feb 13, 2013 22:09 UTC | RTX Corp UTX · Entity 2823 | GrantCommon Stock | 23,862 | $89.61 | $2,138,273.82 |
DisclosureSEC source: 0001225208-13-003975 · doc4.xml · nonDerivative · entry 1 DARNIS GERAUD · CIK 0001184185 · Pres. & CEO, UTC Climate, Cont 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 102,198.9999 F1 · shares: The reporting person acquired 11,931 shares of UTC common stock and 11,931 UTC deferred stock units upon the vesting of performance share units (PSUs) previously awarded on January 4, 2010 to the reporting person under the UTC 2005 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 and total shareholder return over a three-year performance period. The reporting person previously elected to defer receipt of a portion of the actual shares of common stock that otherwise would be received upon the vesting of these PSUs and in respect of that portion of the vested units acquired instead deferred stock units that settle exclusively in shares and are included in Table I as common stock equivalents. Each deferred stock unit has a value equal to one share of UTC common stock. Read SEC document |
| January 24, 2013 Filed Jan 25, 2013 22:18 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionNon-Qualified Stock Option (right to buy) · Derivative | 140,000 | $46.76 Strike: $46.76 | $6,546,400.00 |
DisclosureSEC source: 0001225208-13-002065 · doc4.xml · derivative · entry 9 DARNIS GERAUD · CIK 0001184185 · Pres. & CEO, UTC Climate, Cont 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 140,000 shares Expires 2014-01-08 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. Read SEC document |
| January 24, 2013 Filed Jan 25, 2013 22:18 UTC | RTX Corp UTX · Entity 2823 | Tax withholdingCommon Stock | 74,332 | $88.60 | $6,585,763.17 |
DisclosureSEC source: 0001225208-13-002065 · doc4.xml · nonDerivative · entry 4 DARNIS GERAUD · CIK 0001184185 · Pres. & CEO, UTC Climate, Cont 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 78,336.9999 Read SEC document |
| January 24, 2013 Filed Jan 25, 2013 22:18 UTC | RTX Corp UTX · Entity 2823 | SaleCommon Stock | 35,241 | $88.60 | $3,122,352.60 |
DisclosureSEC source: 0001225208-13-002065 · doc4.xml · nonDerivative · entry 3 DARNIS GERAUD · CIK 0001184185 · Pres. & CEO, UTC Climate, Cont 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 152,668.9999 F1 · shares: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $88.535 to $88.66. Upon request, UTC will provide full information as to the shares sold at each separate price. Read SEC document |
| January 24, 2013 Filed Jan 25, 2013 22:18 UTC | RTX Corp UTX · Entity 2823 | Tax withholdingCommon Stock | 30,427 | $88.60 | $2,695,810.90 |
DisclosureSEC source: 0001225208-13-002065 · doc4.xml · nonDerivative · entry 2 DARNIS GERAUD · CIK 0001184185 · Pres. & CEO, UTC Climate, Cont 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 187,909.9999 Read SEC document |
| January 24, 2013 Filed Jan 25, 2013 22:18 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionCommon Stock | 140,000 | $46.76 | $6,546,400.00 |
DisclosureSEC source: 0001225208-13-002065 · doc4.xml · nonDerivative · entry 1 DARNIS GERAUD · CIK 0001184185 · Pres. & CEO, UTC Climate, Cont 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 218,336.9999 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 02, 2013 Filed Jan 4, 2013 22:07 UTC | RTX Corp UTX · Entity 2823 | GrantStock Appreciation Right · Derivative | 105,500 | $0.00 Strike: $84.00 | $0.00 |
DisclosureSEC source: 0001225208-13-000883 · doc4.xml · derivative · entry 6 DARNIS GERAUD · CIK 0001184185 · Pres. & CEO, UTC Climate, Cont 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 105,500 Underlying: Common Stock · 105,500 shares Expires 2023-01-01 F1 · balance_after: The reporting person was also awarded 25,900 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 earnings per share and total shareholder return over a three year time period. Read SEC document |
| February 06, 2012 Filed Feb 7, 2012 22:31 UTC | RTX Corp UTX · Entity 2823 | Tax withholdingCommon Stock | 7,229 | $80.57 | $582,440.53 |
DisclosureSEC source: 0001225208-12-003237 · doc4.xml · nonDerivative · entry 5 DARNIS GERAUD · CIK 0001184185 · Pres. & CEO, UTC Climate, Cont 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 91,199.9999 Read SEC document |
| February 06, 2012 Filed Feb 7, 2012 22:31 UTC | RTX Corp UTX · Entity 2823 | GrantCommon Stock | 16,728 | $80.57 | $1,347,774.96 |
DisclosureSEC source: 0001225208-12-003237 · doc4.xml · nonDerivative · entry 4 DARNIS GERAUD · CIK 0001184185 · Pres. & CEO, UTC Climate, Cont 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 98,428.9999 F1 · shares: The acquisition of shares of UTC common stock represents the vesting of performance share units (PSUs) previously awarded on January 2, 2009 to the reporting person under the UTC 2005 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 and total shareholder return over a three-year performance period. 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.