person · Reporting owner
Baranda Riva, Pedro Sainz De
Disclosed activity across 1 company
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| RTX CorpUTX · Entity 2823 | President, Otis Elevator | January 02, 2014 | January 06, 2014 |
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 January 02, 2014 · Filed January 06, 2014
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Appreciation RightSEC Table II · derivative / convertible security · Conversion / exercise price $112.49 · Expires 2024-01-01 | Direct | 52,500 |
Reported balance
After 2014-01-02 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2014-01-02 · Grant · Acquired 52,500 · Balance 52,500 F1: 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. |
| Stock Appreciation RightSEC Table II · derivative / convertible security · Conversion / exercise price $112.49 · Expires 2024-01-01 | Direct | 33,000 |
Reported balance
After 2014-01-02 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2014-01-02 · Grant · Acquired 33,000 · Balance 33,000 F2: The reporting person was also awarded 8,600 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. |
| Common StockSEC Table I · non-derivative | Direct | 2,518 |
Reported balance
Holding disclosure · report date 2014-01-02 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 2,518 |
| Common StockSEC Table I · non-derivative | IndirectBy Savings Plan Trustee | 589 |
Reported balance
Holding disclosure · report date 2014-01-02 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 589 |
Filing footnotes · ownership attribution and instrument terms
F1: 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.
F2: The reporting person was also awarded 8,600 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.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| January 02, 2014 Filed Jan 6, 2014 22:23 UTC | RTX Corp UTX · Entity 2823 | GrantStock Appreciation Right · Derivative | 33,000 | $112.49 Strike: $112.49 | $3,712,170.00 |
DisclosureSEC source: 0001225208-14-001039 · doc4.xml · derivative · entry 4 Baranda Riva, Pedro Sainz De · CIK 0001542911 · President, Otis Elevator 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,000 Underlying: Common Stock · 33,000 shares Expires 2024-01-01 F2 · balance_after: The reporting person was also awarded 8,600 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 |
| January 02, 2014 Filed Jan 6, 2014 22:23 UTC | RTX Corp UTX · Entity 2823 | GrantStock Appreciation Right · Derivative | 52,500 | $112.49 Strike: $112.49 | $5,905,725.00 |
DisclosureSEC source: 0001225208-14-001039 · doc4.xml · derivative · entry 3 Baranda Riva, Pedro Sainz De · CIK 0001542911 · President, Otis Elevator 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,500 Underlying: Common Stock · 52,500 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 |
| August 02, 2013 Filed Aug 5, 2013 21:05 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionNon-Qualified Stock Option (right to buy) · Derivative | 9,400 | $0.00 Strike: $51.50 | $0.00 |
DisclosureSEC source: 0001225208-13-017307 · doc4.xml · derivative · entry 4 Baranda Riva, Pedro Sainz De · CIK 0001542911 · President, Otis Elevator 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 9,400 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 02, 2013 Filed Aug 5, 2013 21:05 UTC | RTX Corp UTX · Entity 2823 | SaleCommon Stock | 9,400 | $107.00 | $1,005,800.00 |
DisclosureSEC source: 0001225208-13-017307 · doc4.xml · nonDerivative · entry 2 Baranda Riva, Pedro Sainz De · CIK 0001542911 · President, Otis Elevator 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,518 Read SEC document |
| August 02, 2013 Filed Aug 5, 2013 21:05 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionCommon Stock | 9,400 | $51.50 | $484,100.00 |
DisclosureSEC source: 0001225208-13-017307 · doc4.xml · nonDerivative · entry 1 Baranda Riva, Pedro Sainz De · CIK 0001542911 · President, Otis Elevator 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,918 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 22:10 UTC | RTX Corp UTX · Entity 2823 | Tax withholdingCommon Stock | 837 | $89.61 | $75,003.57 |
DisclosureSEC source: 0001225208-13-003976 · doc4.xml · nonDerivative · entry 2 Baranda Riva, Pedro Sainz De · CIK 0001542911 · President, Otis Elevator 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,518 Read SEC document |
| February 11, 2013 Filed Feb 13, 2013 22:10 UTC | RTX Corp UTX · Entity 2823 | GrantCommon Stock | 2,455 | $89.61 | $219,992.55 |
DisclosureSEC source: 0001225208-13-003976 · doc4.xml · nonDerivative · entry 1 Baranda Riva, Pedro Sainz De · CIK 0001542911 · President, Otis Elevator 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,355 F1 · shares: The acquisition of shares of UTC common stock represents 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 soley 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 |
| February 07, 2013 Filed Feb 7, 2013 22:16 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionNon-Qualified Stock Option (right to buy) · Derivative | 5,400 | $0.00 Strike: $46.76 | $0.00 |
DisclosureSEC source: 0001225208-13-003379 · doc4.xml · derivative · entry 4 Baranda Riva, Pedro Sainz De · CIK 0001542911 · President, Otis Elevator 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,400 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 |
| February 07, 2013 Filed Feb 7, 2013 22:16 UTC | RTX Corp UTX · Entity 2823 | SaleCommon Stock | 5,400 | $89.20 | $481,682.70 |
DisclosureSEC source: 0001225208-13-003379 · doc4.xml · nonDerivative · entry 2 Baranda Riva, Pedro Sainz De · CIK 0001542911 · President, Otis Elevator 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 900 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $89.2000 to $89.2010. Upon request, UTC will provide full information as to the shares sold at each separate price. Read SEC document |
| February 07, 2013 Filed Feb 7, 2013 22:16 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionCommon Stock | 5,400 | $46.76 | $252,504.00 |
DisclosureSEC source: 0001225208-13-003379 · doc4.xml · nonDerivative · entry 1 Baranda Riva, Pedro Sainz De · CIK 0001542911 · President, Otis Elevator 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,300 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 | 45,500 | $0.00 Strike: $84.00 | $0.00 |
DisclosureSEC source: 0001225208-13-000874 · doc4.xml · derivative · entry 3 Baranda Riva, Pedro Sainz De · CIK 0001542911 · President, Otis Elevator 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,500 Underlying: Common Stock · 45,500 shares Expires 2023-01-01 F1 · balance_after: The reporting person was also awarded 11,100 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 earnings per share and total shareholder return over a three year time period. Read SEC document |
| May 25, 2012 Filed Aug 17, 2012 21:06 UTC | RTX Corp UTX · Entity 2823 | GrantRestricted Stock Units · Derivative | 10,932 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-12-018122 · doc4.xml · derivative · entry 3 Baranda Riva, Pedro Sainz De · CIK 0001542911 · President, Otis Elevator 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,932 Underlying: Common Stock · 10,932 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of United Technologies Corporation common stock. F2 · derivative.exercise_date: The Restricted Stock Units vest on retirement from UTC on or after age 62 with a minimum of three years of service as a member of UTC's Executive Leadership Group. F2 · derivative.expiration_date: The Restricted Stock Units vest on retirement from UTC on or after age 62 with a minimum of three years of service as a member of UTC's Executive Leadership Group. Read SEC document |
| May 01, 2012 Filed May 2, 2012 21:10 UTC | RTX Corp UTX · Entity 2823 | SaleCommon Stock | 2,064 | $82.11 | $169,483.30 |
DisclosureSEC source: 0001225208-12-010935 · doc4.xml · nonDerivative · entry 2 Baranda Riva, Pedro Sainz De · CIK 0001542911 · President, Otis Elevator 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 900 Read SEC document |
| May 01, 2012 Filed May 2, 2012 21:10 UTC | RTX Corp UTX · Entity 2823 | SaleCommon Stock | 100 | $82.11 | $8,211.00 |
DisclosureSEC source: 0001225208-12-010935 · doc4.xml · nonDerivative · entry 1 Baranda Riva, Pedro Sainz De · CIK 0001542911 · President, Otis Elevator 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,964 Read SEC document |
| March 28, 2012 Filed Mar 28, 2012 22:16 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionNon-Qualified Stock Option (right to buy) · Derivative | 3,500 | $0.00 Strike: $31.71 | $0.00 |
DisclosureSEC source: 0001225208-12-008412 · doc4.xml · derivative · entry 3 Baranda Riva, Pedro Sainz De · CIK 0001542911 · President, Otis Elevator 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,500 shares Expires 2013-01-01 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 |
| March 28, 2012 Filed Mar 28, 2012 22:16 UTC | RTX Corp UTX · Entity 2823 | Tax withholdingCommon Stock | 1,336 | $83.11 | $111,034.96 |
DisclosureSEC source: 0001225208-12-008412 · doc4.xml · nonDerivative · entry 2 Baranda Riva, Pedro Sainz De · CIK 0001542911 · President, Otis Elevator 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,064 Read SEC document |
| March 28, 2012 Filed Mar 28, 2012 22:16 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionCommon Stock | 3,500 | $31.71 | $110,967.50 |
DisclosureSEC source: 0001225208-12-008412 · doc4.xml · nonDerivative · entry 1 Baranda Riva, Pedro Sainz De · CIK 0001542911 · President, Otis Elevator 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,400 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.