Jimenez Frank R

SEC source: 0001209191-23-036696 · doc4.xml · nonDerivative · entry 1

Jimenez Frank R · CIK 0001465175 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 1,154.655

F1 · shares: Huntington Ingalls Industries, Inc. paid a cash dividend of $1.24 per share of common stock on June 9, 2023. Pursuant to the terms of the Huntington Ingalls Industries, Inc. 2012 and 2022 Long-Term Incentive Stock Plan, shares of common stock representing the dividend were deferred into a stock unit account in a transaction exempt by Rule 16b-3.

F2 · ownership.nature: Represents vested restricted stock units credited to the Reporting Person's account pursuant to Huntington Ingalls Industries, Inc.'s 2012 and 2022 Long-Term Incentive Stock Plans. Each director stock unit represents a right to receive one share of Issuer common stock (or cash equivalent value), which will generally become payable within 30 days following the date a non-employee director ceases to provide services as a member of the board of directors.

SEC source: 0001209191-23-023508 · doc4.xml · nonDerivative · entry 1

Jimenez Frank R · CIK 0001465175 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 1,148.042

F1 · shares: Shares of common stock deferred into stock unit account pursuant to Huntington Ingalls Industries, Inc. 2022 Long-Term Incentive Stock Plan, in an exempt transaction pursuant to Rule 16b-3.

F2 · ownership.nature: Represents vested restricted stock units credited to the Reporting Person's account pursuant to Huntington Ingalls Industries, Inc.'s 2012 and 2022 Long-Term Incentive Stock Plans. Each director stock unit represents a right to receive one share of Issuer common stock (or cash equivalent value), which will generally become payable within 30 days following the date a non-employee director ceases to provide services as a member of the board of directors.

SEC source: 0001209191-23-018739 · doc4.xml · nonDerivative · entry 1

Jimenez Frank R · CIK 0001465175 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 957.042

F1 · shares: Pursuant to the terms of the Huntington Ingalls Industries, Inc. 2012 and 2022 Long-Term Incentive Stock Plan, the number of shares is determined by dividing the aggregate amount of the dividend by the closing price of a share of common stock on the date of the payment of the dividend.

F2 · ownership.nature: Represents vested restricted stock units credited to the Reporting Person's account pursuant to Huntington Ingalls Industries, Inc.'s 2012 and 2022 Long-Term Incentive Stock Plans. Each director stock unit represents a right to receive one share of Issuer common stock (or cash equivalent value), which will generally become payable within 30 days following the date a non-employee director ceases to provide services as a member of the board of directors.

SEC source: 0001628280-23-006431 · wf-form4_167789118758522.xml · derivative · entry 2

Jimenez Frank R · CIK 0001465175 · GC & Corporate Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,419

Underlying: Common Stock, par value $0.01 per share · 32,419 shares

Expires 2033-03-01

F3 · price: Award of an employee stock option with respect to GE HealthCare common stock, of which 33% will become exercisable on September 1, 2024, 33% will become exercisable on September 1, 2025, and 34% will become exercisable on September 1, 2026.

F3 · derivative.exercise_date: Award of an employee stock option with respect to GE HealthCare common stock, of which 33% will become exercisable on September 1, 2024, 33% will become exercisable on September 1, 2025, and 34% will become exercisable on September 1, 2026.

SEC source: 0001628280-23-006431 · wf-form4_167789118758522.xml · nonDerivative · entry 1

Jimenez Frank R · CIK 0001465175 · GC & Corporate Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,328

F1 · shares: Award of restricted stock units with respect to GE HealthCare Technologies Inc. ("GE HealthCare") common stock, of which 33% will vest on September 1, 2024, 33% will vest on September 1, 2025, and 34% will vest on September 1, 2026.

F2 · shares: Each restricted stock unit represents the right to receive, at settlement, one share of GE HealthCare common stock.

SEC source: 0001628280-23-002264 · wf-form4_167546529107178.xml · derivative · entry 2

Jimenez Frank R · CIK 0001465175 · GC & Corporate Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,870

Underlying: Common Stock, par value $0.01 per share · 54,870 shares

Expires 2033-02-01

F4 · price: Award of an employee stock option with respect to GE HealthCare common stock, of which 50% will become exercisable on February 1, 2025 and 50% will become exercisable on February 1, 2026.

F4 · derivative.exercise_date: Award of an employee stock option with respect to GE HealthCare common stock, of which 50% will become exercisable on February 1, 2025 and 50% will become exercisable on February 1, 2026.

SEC source: 0001628280-23-002264 · wf-form4_167546529107178.xml · nonDerivative · entry 1

Jimenez Frank R · CIK 0001465175 · GC & Corporate Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,708

F1 · shares: Award of restricted stock units with respect to GE HealthCare Technologies Inc. ("GE HealthCare") common stock, of which 50% will vest on February 1, 2025 and 50% will vest on February 1, 2026.

F2 · shares: Each restricted stock unit represents the right to receive, at settlement, one share of GE HealthCare common stock.

F3 · balance_after: The reporting person has reported prior awards of restricted stock units in Table II of Form 4. The total reported in Column 5 includes 6,249 newly awarded restricted stock units, 58,274 previously reported restricted stock units, and 185 shares of common stock.

SEC source: 0000899243-23-001112 · doc4.xml · derivative · entry 3

Jimenez Frank R · CIK 0001465175 · GC & Corporate Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,421

Underlying: Common stock, par value $0.01 per share · 36,421 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit represents the right to receive, at settlement, one share of GE HealthCare common stock.

F1 · price: The transactions reported herein are the result of the consummation on January 3, 2023 of the distribution of approximately 80.1% of the shares of common stock of GE HealthCare Technologies Inc. ("GE HealthCare") by General Electric Company ("GE") to holders of GE common stock on a pro rata basis (the "Spin-Off"). These transactions are voluntarily reported notwithstanding the exemption provided by Rule 16a-9.

F3 · derivative.exercise_date: Award of restricted stock units with respect to GE HealthCare common stock resulting from the conversion of certain equity incentive awards previously granted by GE as a result of the Spin-Off, of which 50% will vest on March 1, 2024 and 50% will vest on March 1, 2025.

F3 · derivative.expiration_date: Award of restricted stock units with respect to GE HealthCare common stock resulting from the conversion of certain equity incentive awards previously granted by GE as a result of the Spin-Off, of which 50% will vest on March 1, 2024 and 50% will vest on March 1, 2025.

SEC source: 0000899243-23-001112 · doc4.xml · derivative · entry 2

Jimenez Frank R · CIK 0001465175 · GC & Corporate Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,853

Underlying: Common stock, par value $0.01 per share · 21,853 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit represents the right to receive, at settlement, one share of GE HealthCare common stock.

F1 · price: The transactions reported herein are the result of the consummation on January 3, 2023 of the distribution of approximately 80.1% of the shares of common stock of GE HealthCare Technologies Inc. ("GE HealthCare") by General Electric Company ("GE") to holders of GE common stock on a pro rata basis (the "Spin-Off"). These transactions are voluntarily reported notwithstanding the exemption provided by Rule 16a-9.

F3 · derivative.exercise_date: Award of restricted stock units with respect to GE HealthCare common stock resulting from the conversion of certain equity incentive awards previously granted by GE as a result of the Spin-Off, of which 50% will vest on March 1, 2024 and 50% will vest on March 1, 2025.

F3 · derivative.expiration_date: Award of restricted stock units with respect to GE HealthCare common stock resulting from the conversion of certain equity incentive awards previously granted by GE as a result of the Spin-Off, of which 50% will vest on March 1, 2024 and 50% will vest on March 1, 2025.

SEC source: 0001209191-23-002177 · doc4.xml · nonDerivative · entry 1

Jimenez Frank R · CIK 0001465175 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 951.579

F1 · shares: Shares of common stock deferred into stock unit account pursuant to Huntington Ingalls Industries, Inc. 2022 Long-Term Incentive Stock Plan, in an exempt transaction pursuant to Rule 16b-3.

F2 · ownership.nature: Represents vested restricted stock units credited to the Reporting Person's account pursuant to Huntington Ingalls Industries, Inc.'s 2012 and 2022 Long-Term Incentive Stock Plans. Each director stock unit represents a right to receive one share of Issuer common stock (or cash equivalent value), which will generally become payable within 30 days following the date a non-employee director ceases to provide services as a member of the board of directors.

SEC source: 0000899243-23-001112 · doc4.xml · nonDerivative · entry 1

Jimenez Frank R · CIK 0001465175 · GC & Corporate Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 185

F1 · shares: The transactions reported herein are the result of the consummation on January 3, 2023 of the distribution of approximately 80.1% of the shares of common stock of GE HealthCare Technologies Inc. ("GE HealthCare") by General Electric Company ("GE") to holders of GE common stock on a pro rata basis (the "Spin-Off"). These transactions are voluntarily reported notwithstanding the exemption provided by Rule 16a-9.

F1 · price: The transactions reported herein are the result of the consummation on January 3, 2023 of the distribution of approximately 80.1% of the shares of common stock of GE HealthCare Technologies Inc. ("GE HealthCare") by General Electric Company ("GE") to holders of GE common stock on a pro rata basis (the "Spin-Off"). These transactions are voluntarily reported notwithstanding the exemption provided by Rule 16a-9.

SEC source: 0001209191-22-060993 · doc4.xml · nonDerivative · entry 1

Jimenez Frank R · CIK 0001465175 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 776.579

F1 · kind: Huntington Ingalls Industries, Inc. paid a cash dividend of $1.24 per share of common stock on December 9, 2022. Pursuant to the terms of the Huntington Ingalls Industries, Inc. 2012 and 2022 Long-Term Incentive Stock Plan, shares of common stock representing the dividend were deferred into a stock unit account in a transaction exempt by Rule 16b-3.

F2 · ownership.direct: Represents vested restricted stock units credited to the Reporting Person's account pursuant to Huntington Ingalls Industries, Inc.'s 2012 and 2022 Long-Term Incentive Stock Plans. Each director stock unit represents a right to receive one share of Issuer common stock (or cash equivalent value), which will generally become payable within 30 days following the date a non-employee director ceases to provide services as a member of the board of directors.

SEC source: 0001209191-22-052820 · doc4.xml · nonDerivative · entry 1

Jimenez Frank R · CIK 0001465175 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 772.474

F1 · shares: Shares of common stock deferred into stock unit account pursuant to Huntington Ingalls Industries, Inc. 2022 Long-Term Incentive Stock Plan, in an exempt transaction pursuant to Rule 16b-3.

F2 · ownership.nature: Represents stock units credited to the Reporting Person's account pursuant to Huntington Ingalls Industries, Inc. 2022 Long-Term Stock Incentive Plan. Each director stock unit represents a right to receive one share of Issuer common stock (or cash equivalent value).

SEC source: 0001209191-22-049730 · doc4.xml · nonDerivative · entry 1

Jimenez Frank R · CIK 0001465175 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 596.474

F1 · shares: Huntington Ingalls Industries, Inc. paid a cash dividend of $1.18 per share of common stock on September 9, 2022. Pursuant to the terms of the Huntington Ingalls Industries, Inc. 2012 and 2022 Long-Term Incentive Stock Plan, shares of common stock representing the dividend were deferred into a stock unit account in a transaction exempt by Rule 16b-3.

F2 · ownership.nature: Represents vested restricted stock units credited to the Reporting Person's account pursuant to Huntington Ingalls Industries, Inc.'s 2012 and 2022 Long-Term Incentive Stock Plans. Each director stock unit represents a right to receive one share of Issuer common stock (or cash equivalent value), which will generally become payable within 30 days following the date a non-employee director ceases to provide services as a member of the board of directors.

SEC source: 0001209191-22-041292 · doc4.xml · nonDerivative · entry 1

Jimenez Frank R · CIK 0001465175 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 593.498

F1 · shares: Shares of common stock deferred into stock unit account pursuant to Huntington Ingalls Industries, Inc. 2022 Long-Term Incentive Stock Plan, in an exempt transaction pursuant to Rule 16b-3.

F2 · ownership.nature: Represents vested restricted stock units credited to the Reporting Person's account pursuant to Huntington Ingalls Industries, Inc.'s 2012 and 2022 Long-Term Incentive Stock Plans. Each director stock unit represents a right to receive one share of Issuer common stock (or cash equivalent value), which will generally become payable within 30 days following the date a non-employee director ceases to provide services as a member of the board of directors.

SEC source: 0001209191-22-036691 · doc4.xml · nonDerivative · entry 1

Jimenez Frank R · CIK 0001465175 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 412.498

F1 · shares: Huntington Ingalls Industries, Inc. paid a cash dividend of $1.18 per share of common stock on June 10, 2022. Pursuant to the terms of the Huntington Ingalls Industries, Inc. 2012 Long-Term Incentive Stock Plan, shares of common stock representing the dividend were deferred into a stock unit account in a transaction exempt by Rule 16b-3.

F1 · price: Huntington Ingalls Industries, Inc. paid a cash dividend of $1.18 per share of common stock on June 10, 2022. Pursuant to the terms of the Huntington Ingalls Industries, Inc. 2012 Long-Term Incentive Stock Plan, shares of common stock representing the dividend were deferred into a stock unit account in a transaction exempt by Rule 16b-3.

F2 · ownership.nature: Represents vested restricted stock units credited to the Reporting Person's account pursuant to Huntington Ingalls Industries, Inc.'s 2012 Long-Term Incentive Stock Plan. Each director stock unit represents a right to receive one share of Issuer common stock (or cash equivalent value), which will generally become payable within 30 days following the date a non-employee director ceases to provide services as a member of the board of directors.

SEC source: 0001209191-22-023183 · doc4.xml · nonDerivative · entry 1

Jimenez Frank R · CIK 0001465175 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 410.214

F1 · shares: Shares of common stock deferred into stock unit account pursuant to Huntington Ingalls Industries, Inc. 2012 Long-Term Incentive Stock Plan, in an exempt transaction pursuant to Rule 16b-3.

F2 · ownership.nature: Represents vested restricted stock units credited to the Reporting Person's account pursuant to Huntington Ingalls Industries, Inc.'s 2012 Long-Term Incentive Stock Plan. Each director stock unit represents a right to receive one share of Issuer common stock (or cash equivalent value), which will generally become payable within 30 days following the date a non-employee director ceases to provide services as a member of the board of directors.

SEC source: 0001209191-22-018574 · doc4.xml · nonDerivative · entry 1

Jimenez Frank R · CIK 0001465175 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 213.214

F1 · shares: Huntington Ingalls Industries, Inc. paid a cash dividend of $1.18 per share of common stock on March 11, 2022. Pursuant to the terms of the Huntington Ingalls Industries, Inc. 2012 Long-Term Incentive Stock Plan, shares of common stock representing the dividend were deferred into a stock unit account in a transaction exempt by Rule 16b-3.

F2 · ownership.nature: Represents vested restricted stock units credited to the Reporting Person's account pursuant to Huntington Ingalls Industries, Inc.'s 2012 Long-Term Incentive Stock Plan. Each director stock unit represents a right to receive one share of Issuer common stock (or cash equivalent value), which will generally become payable within 30 days following the date a non-employee director ceases to provide services as a member of the board of directors.

SEC source: 0001209191-22-005775 · doc4.xml · nonDerivative · entry 1

Jimenez Frank R · CIK 0001465175 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 212

F1 · shares: Shares of common stock deferred into stock unit account pursuant to Huntington Ingalls Industries, Inc. 2012 Long-Term Incentive Stock Plan, in an exempt transaction pursuant to Rule 16b-3.

F2 · ownership.nature: Represents vested restricted stock units credited to the Reporting Person's account pursuant to Huntington Ingalls Industries, Inc.'s 2012 Long-Term Incentive Stock Plan. Each director stock unit represents a right to receive one share of Issuer common stock (or cash equivalent value), which will generally become payable within 30 days following the date a non-employee director ceases to provide services as a member of the board of directors.

SEC source: 0001225208-21-008458 · doc4.xml · nonDerivative · entry 1

Jimenez Frank R · CIK 0001465175 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,898

SEC source: 0001225208-21-007307 · doc4.xml · nonDerivative · entry 2

Jimenez Frank R · CIK 0001465175 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,298

F1 · shares: The stock sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 5, 2021.

F3 · price: The reported price is based on a weighted average of multiple same-day transactions with prices ranging from $81.48 to $82.45 per share. Full information regarding the number of shares sold at each separate price is available to the Securities and Exchange Commission, the Issuer or any security holder of the Issuer upon request.

SEC source: 0001225208-21-007307 · doc4.xml · nonDerivative · entry 1

Jimenez Frank R · CIK 0001465175 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,221

F1 · shares: The stock sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 5, 2021.

F2 · price: The reported price is based on a weighted average of multiple same-day transactions with prices ranging from $82.48 to $83.06 per share. Full information regarding the number of shares sold at each separate price is available to the Securities and Exchange Commission, the Issuer or any security holder of the Issuer upon request.

SEC source: 0001225208-21-005814 · doc4.xml · nonDerivative · entry 2

Jimenez Frank R · CIK 0001465175 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,011

SEC source: 0001225208-21-005814 · doc4.xml · nonDerivative · entry 1

Jimenez Frank R · CIK 0001465175 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,891

SEC source: 0001225208-21-002077 · doc4.xml · derivative · entry 2

Jimenez Frank R · CIK 0001465175 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,700

Underlying: Common Stock · 37,700 shares

Expires 2031-02-07

F2 · balance_after: In addition to the stock appreciation rights (SARs) and not included in this number, the reporting person was also awarded 24,835 performance share units (PSUs) under the RTX Long-Term Incentive Plan. Each PSU has a value equal to one share of RTX Common Stock. These PSUs vest solely upon achievement of pre-established performance goals for RTX's return on invested capital (ROIC), earnings per share (EPS) growth and total shareholder return (TSR) relative to the S&P 500 and aerospace & defense peer companies. The performance period for EPS growth and ROIC is one-year, followed by a two-year holding period. Both TSR goals have a three-year performance period.

SEC source: 0001225208-21-002077 · doc4.xml · derivative · entry 1

Jimenez Frank R · CIK 0001465175 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,699

Underlying: Common Stock · 8,280 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 RTX Common Stock. These RSUs vest on the third anniversary of the date of grant.

F1 · derivative.exercise_date: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of RTX Common Stock. These RSUs vest on the third anniversary of the date of grant.

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 RTX Common Stock. These RSUs vest on the third anniversary of the date of grant.

SEC source: 0001225208-21-001161 · doc4.xml · nonDerivative · entry 2

Jimenez Frank R · CIK 0001465175 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,670

SEC source: 0001225208-21-001161 · doc4.xml · derivative · entry 3

Jimenez Frank R · CIK 0001465175 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,419

Underlying: Common Stock · 22,237 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: Time-based restricted stock units (RSUs) that represent the right to receive one share of the Issuer's Common Stock per unit.

F2 · derivative.exercise_date: Vesting of RSUs and delivery of shares with respect to the RSUs that were converted from Raytheon Company performance-based vesting RSUs originally granted on January 24, 2018 under the 2018-2020 Long-Term Performance Plan.

F2 · derivative.expiration_date: Vesting of RSUs and delivery of shares with respect to the RSUs that were converted from Raytheon Company performance-based vesting RSUs originally granted on January 24, 2018 under the 2018-2020 Long-Term Performance Plan.

SEC source: 0001225208-21-001161 · doc4.xml · nonDerivative · entry 1

Jimenez Frank R · CIK 0001465175 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,350

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: Time-based restricted stock units (RSUs) that represent the right to receive one share of the Issuer's Common Stock per unit.

SEC source: 0001225208-20-014912 · doc4.xml · derivative · entry 1

Jimenez Frank R · CIK 0001465175 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,656

Underlying: Common Stock · 27,390 shares

Expires not disclosed

F1 · derivative.exercise_price: These Restricted Stock Units ("RSUs") are awarded in connection with the reporting person's membership in the Raytheon Technologies Corporation ("RTX") Executive Leadership Group ("ELG"). Following three years of ELG service, each RSU, including accumulated dividend equivalents, represents a right to receive one share of RTX Common Stock upon a Qualifying Separation from RTX (as defined in Exhibit 10.6 of legacy United Technologies Corporation's 2019 Form 10-K).

F1 · price: These Restricted Stock Units ("RSUs") are awarded in connection with the reporting person's membership in the Raytheon Technologies Corporation ("RTX") Executive Leadership Group ("ELG"). Following three years of ELG service, each RSU, including accumulated dividend equivalents, represents a right to receive one share of RTX Common Stock upon a Qualifying Separation from RTX (as defined in Exhibit 10.6 of legacy United Technologies Corporation's 2019 Form 10-K).

F1 · derivative.exercise_date: These Restricted Stock Units ("RSUs") are awarded in connection with the reporting person's membership in the Raytheon Technologies Corporation ("RTX") Executive Leadership Group ("ELG"). Following three years of ELG service, each RSU, including accumulated dividend equivalents, represents a right to receive one share of RTX Common Stock upon a Qualifying Separation from RTX (as defined in Exhibit 10.6 of legacy United Technologies Corporation's 2019 Form 10-K).

F1 · derivative.expiration_date: These Restricted Stock Units ("RSUs") are awarded in connection with the reporting person's membership in the Raytheon Technologies Corporation ("RTX") Executive Leadership Group ("ELG"). Following three years of ELG service, each RSU, including accumulated dividend equivalents, represents a right to receive one share of RTX Common Stock upon a Qualifying Separation from RTX (as defined in Exhibit 10.6 of legacy United Technologies Corporation's 2019 Form 10-K).

SEC source: 0001225208-20-012822 · doc4.xml · nonDerivative · entry 1

Jimenez Frank R · CIK 0001465175 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,113

SEC source: 0001047122-20-000116 · wf-form4_158637415830944.xml · derivative · entry 4

Jimenez Frank R · CIK 0001465175 · VP, General Counsel, Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,467 shares

Expires not disclosed

F5 · derivative.exercise_price: Represents PSUs earned at a specific level pursuant to the term of the Merger Agreement and which had not been previously reported. The PSUs were originally granted under the 2020-2022 Long-Term Performance Plan. The PSUs were converted into an award of time-vesting UTC RSUs pursuant to the terms of the Merger Agreement.

F5 · price: Represents PSUs earned at a specific level pursuant to the term of the Merger Agreement and which had not been previously reported. The PSUs were originally granted under the 2020-2022 Long-Term Performance Plan. The PSUs were converted into an award of time-vesting UTC RSUs pursuant to the terms of the Merger Agreement.

F5 · derivative.exercise_date: Represents PSUs earned at a specific level pursuant to the term of the Merger Agreement and which had not been previously reported. The PSUs were originally granted under the 2020-2022 Long-Term Performance Plan. The PSUs were converted into an award of time-vesting UTC RSUs pursuant to the terms of the Merger Agreement.

F5 · derivative.expiration_date: Represents PSUs earned at a specific level pursuant to the term of the Merger Agreement and which had not been previously reported. The PSUs were originally granted under the 2020-2022 Long-Term Performance Plan. The PSUs were converted into an award of time-vesting UTC RSUs pursuant to the terms of the Merger Agreement.

SEC source: 0001047122-20-000116 · wf-form4_158637415830944.xml · derivative · entry 3

Jimenez Frank R · CIK 0001465175 · VP, General Counsel, Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,467

Underlying: Common Stock · 9,821 shares

Expires not disclosed

F4 · derivative.exercise_price: Represents PSUs earned at a specific level pursuant to the term of the Merger Agreement and which had not been previously reported. The PSUs were originally granted under the 2019-2021 Long-Term Performance Plan. The PSUs were converted into an award of time-vesting UTC RSUs pursuant to the terms of the Merger Agreement.

F4 · price: Represents PSUs earned at a specific level pursuant to the term of the Merger Agreement and which had not been previously reported. The PSUs were originally granted under the 2019-2021 Long-Term Performance Plan. The PSUs were converted into an award of time-vesting UTC RSUs pursuant to the terms of the Merger Agreement.

F4 · derivative.exercise_date: Represents PSUs earned at a specific level pursuant to the term of the Merger Agreement and which had not been previously reported. The PSUs were originally granted under the 2019-2021 Long-Term Performance Plan. The PSUs were converted into an award of time-vesting UTC RSUs pursuant to the terms of the Merger Agreement.

F4 · derivative.expiration_date: Represents PSUs earned at a specific level pursuant to the term of the Merger Agreement and which had not been previously reported. The PSUs were originally granted under the 2019-2021 Long-Term Performance Plan. The PSUs were converted into an award of time-vesting UTC RSUs pursuant to the terms of the Merger Agreement.

SEC source: 0001047122-20-000116 · wf-form4_158637415830944.xml · derivative · entry 2

Jimenez Frank R · CIK 0001465175 · VP, General Counsel, Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,288

Underlying: Common Stock · 9,524 shares

Expires not disclosed

F3 · derivative.exercise_price: Represents performance-based restricted stock units ("PSUs") earned at a specific level pursuant to the term of the Merger Agreement and which had not been previously reported. The PSUs were originally granted under the 2018-2020 Long-Term Performance Plan. The PSUs were converted into an award of time-vesting UTC RSUs pursuant to the terms of the Merger Agreement.

F3 · price: Represents performance-based restricted stock units ("PSUs") earned at a specific level pursuant to the term of the Merger Agreement and which had not been previously reported. The PSUs were originally granted under the 2018-2020 Long-Term Performance Plan. The PSUs were converted into an award of time-vesting UTC RSUs pursuant to the terms of the Merger Agreement.

F3 · derivative.exercise_date: Represents performance-based restricted stock units ("PSUs") earned at a specific level pursuant to the term of the Merger Agreement and which had not been previously reported. The PSUs were originally granted under the 2018-2020 Long-Term Performance Plan. The PSUs were converted into an award of time-vesting UTC RSUs pursuant to the terms of the Merger Agreement.

F3 · derivative.expiration_date: Represents performance-based restricted stock units ("PSUs") earned at a specific level pursuant to the term of the Merger Agreement and which had not been previously reported. The PSUs were originally granted under the 2018-2020 Long-Term Performance Plan. The PSUs were converted into an award of time-vesting UTC RSUs pursuant to the terms of the Merger Agreement.

SEC source: 0001047122-20-000116 · wf-form4_158637415830944.xml · nonDerivative · entry 1

Jimenez Frank R · CIK 0001465175 · VP, General Counsel, Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · security: Pursuant to the terms of the Agreement and Plan of Merger, dated as of June 9, 2019, as amended by Amendment No. 1 to the Agreement and Plan of Merger, dated as of March 9, 2020, by and between United Technologies Corporation ("UTC") and Raytheon Company ("Raytheon") (the "Merger Agreement"), on April 3, 2020 (the "Closing Date"), Raytheon became a wholly owned subsidiary of UTC, with UTC becoming Raytheon Technologies Corporation. Pursuant to the Merger Agreement, on the Closing Date, each share of Raytheon Common Stock held by the reporting person was converted automatically into 2.3348 shares of UTC Common Stock.

F2 · shares: Includes 8,877 restricted shares of Raytheon Common Stock that were converted into shares of UTC Common Stock and 17,843 restricted shares of Raytheon Common Stock that were converted into awards of restricted shares of UTC Common Stock, in each case pursuant to the terms of the Merger Agreement.

F1 · price: Pursuant to the terms of the Agreement and Plan of Merger, dated as of June 9, 2019, as amended by Amendment No. 1 to the Agreement and Plan of Merger, dated as of March 9, 2020, by and between United Technologies Corporation ("UTC") and Raytheon Company ("Raytheon") (the "Merger Agreement"), on April 3, 2020 (the "Closing Date"), Raytheon became a wholly owned subsidiary of UTC, with UTC becoming Raytheon Technologies Corporation. Pursuant to the Merger Agreement, on the Closing Date, each share of Raytheon Common Stock held by the reporting person was converted automatically into 2.3348 shares of UTC Common Stock.

SEC source: 0000947871-20-000335 · ownership.xml · derivative · entry 5

Jimenez Frank R · CIK 0001465175 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,266

Underlying: Common Stock · 15,099 shares

Expires not disclosed

F5 · derivative.exercise_price: Represents RTX RSUs that, pursuant to the terms of the Merger Agreement, were converted from Raytheon performance-based vesting restricted stock units granted on January 29, 2020 under the 2020-2022 LTPP. These RSUs will vest in full at the end of the original LTPP 3-year performance cycle.

F5 · price: Represents RTX RSUs that, pursuant to the terms of the Merger Agreement, were converted from Raytheon performance-based vesting restricted stock units granted on January 29, 2020 under the 2020-2022 LTPP. These RSUs will vest in full at the end of the original LTPP 3-year performance cycle.

F5 · derivative.exercise_date: Represents RTX RSUs that, pursuant to the terms of the Merger Agreement, were converted from Raytheon performance-based vesting restricted stock units granted on January 29, 2020 under the 2020-2022 LTPP. These RSUs will vest in full at the end of the original LTPP 3-year performance cycle.

F5 · derivative.expiration_date: Represents RTX RSUs that, pursuant to the terms of the Merger Agreement, were converted from Raytheon performance-based vesting restricted stock units granted on January 29, 2020 under the 2020-2022 LTPP. These RSUs will vest in full at the end of the original LTPP 3-year performance cycle.

SEC source: 0000947871-20-000335 · ownership.xml · derivative · entry 4

Jimenez Frank R · CIK 0001465175 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,167

Underlying: Common Stock · 22,930 shares

Expires not disclosed

F4 · derivative.exercise_price: Represents RTX RSUs that, pursuant to the terms of the Merger Agreement, were converted from Raytheon performance-based vesting restricted stock units granted on January 30, 2019 under the 2019-2021 LTPP. These RSUs will vest in full at the end of the original LTPP 3-year performance cycle.

F4 · price: Represents RTX RSUs that, pursuant to the terms of the Merger Agreement, were converted from Raytheon performance-based vesting restricted stock units granted on January 30, 2019 under the 2019-2021 LTPP. These RSUs will vest in full at the end of the original LTPP 3-year performance cycle.

F4 · derivative.exercise_date: Represents RTX RSUs that, pursuant to the terms of the Merger Agreement, were converted from Raytheon performance-based vesting restricted stock units granted on January 30, 2019 under the 2019-2021 LTPP. These RSUs will vest in full at the end of the original LTPP 3-year performance cycle.

F4 · derivative.expiration_date: Represents RTX RSUs that, pursuant to the terms of the Merger Agreement, were converted from Raytheon performance-based vesting restricted stock units granted on January 30, 2019 under the 2019-2021 LTPP. These RSUs will vest in full at the end of the original LTPP 3-year performance cycle.

SEC source: 0000947871-20-000335 · ownership.xml · derivative · entry 3

Jimenez Frank R · CIK 0001465175 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,237

Underlying: Common Stock · 22,237 shares

Expires not disclosed

F3 · derivative.exercise_price: Represents RTX restricted stock units ("RSUs") that, pursuant to the terms of the Merger Agreement, were converted from Raytheon performance-based vesting restricted stock units granted on January 24, 2018 under the 2018-2020 Long-Term Performance Plan ("LTPP"). These RSUs will vest in full at the end of the original LTPP 3-year performance cycle.

F3 · price: Represents RTX restricted stock units ("RSUs") that, pursuant to the terms of the Merger Agreement, were converted from Raytheon performance-based vesting restricted stock units granted on January 24, 2018 under the 2018-2020 Long-Term Performance Plan ("LTPP"). These RSUs will vest in full at the end of the original LTPP 3-year performance cycle.

F3 · derivative.exercise_date: Represents RTX restricted stock units ("RSUs") that, pursuant to the terms of the Merger Agreement, were converted from Raytheon performance-based vesting restricted stock units granted on January 24, 2018 under the 2018-2020 Long-Term Performance Plan ("LTPP"). These RSUs will vest in full at the end of the original LTPP 3-year performance cycle.

F3 · derivative.expiration_date: Represents RTX restricted stock units ("RSUs") that, pursuant to the terms of the Merger Agreement, were converted from Raytheon performance-based vesting restricted stock units granted on January 24, 2018 under the 2018-2020 Long-Term Performance Plan ("LTPP"). These RSUs will vest in full at the end of the original LTPP 3-year performance cycle.

SEC source: 0000947871-20-000335 · ownership.xml · nonDerivative · entry 2

Jimenez Frank R · CIK 0001465175 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,113

SEC source: 0000947871-20-000335 · ownership.xml · nonDerivative · entry 1

Jimenez Frank R · CIK 0001465175 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,385

F1 · security: Pursuant to the terms of the Agreement and Plan of Merger, dated as of June 9, 2019, as amended by Amendment No. 1 to the Agreement and Plan of Merger, dated as of March 9, 2020, by and between United Technologies Corporation ("UTC") and Raytheon Company ("Raytheon") (the "Merger Agreement"), on April 3, 2020 (the "Closing Date"), Raytheon became a wholly owned subsidiary of UTC, with UTC becoming Raytheon Technologies Corporation. Pursuant to the Merger Agreement, on the Closing Date, each share of Raytheon Common Stock held by the reporting person was converted automatically into 2.3348 shares of UTC Common Stock.

F2 · shares: Includes (1) 8,022 restricted shares of RTX Common Stock that were converted from restricted shares of Raytheon Common Stock granted on March 21, 2018, (2) 12,711 restricted shares of RTX Common Stock that were converted from restricted shares of Raytheon Common Stock granted on March 20, 2019, and (3) 15,804 restricted shares of RTX Common Stock that were converted from restricted shares of Raytheon Common Stock granted on March 25, 2020, pursuant to the terms of the Merger Agreement. All such shares continue to vest in one-third increments on each of the second, third and fourth anniversaries of their original date of grant, as applicable.

F1 · price: Pursuant to the terms of the Agreement and Plan of Merger, dated as of June 9, 2019, as amended by Amendment No. 1 to the Agreement and Plan of Merger, dated as of March 9, 2020, by and between United Technologies Corporation ("UTC") and Raytheon Company ("Raytheon") (the "Merger Agreement"), on April 3, 2020 (the "Closing Date"), Raytheon became a wholly owned subsidiary of UTC, with UTC becoming Raytheon Technologies Corporation. Pursuant to the Merger Agreement, on the Closing Date, each share of Raytheon Common Stock held by the reporting person was converted automatically into 2.3348 shares of UTC Common Stock.

SEC source: 0001047122-20-000070 · wf-form4_158534405692195.xml · nonDerivative · entry 1

Jimenez Frank R · CIK 0001465175 · VP, General Counsel, Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,720

F1 · shares: Shares of restricted stock that vest in one-third increments on each of the second, third and fourth anniversaries of the date of grant.

SEC source: 0001047122-20-000052 · wf-form4_158517071448751.xml · nonDerivative · entry 3

Jimenez Frank R · CIK 0001465175 · VP, General Counsel, Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,951

SEC source: 0001047122-20-000052 · wf-form4_158517071448751.xml · nonDerivative · entry 2

Jimenez Frank R · CIK 0001465175 · VP, General Counsel, Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,925

SEC source: 0001047122-20-000052 · wf-form4_158517071448751.xml · nonDerivative · entry 1

Jimenez Frank R · CIK 0001465175 · VP, General Counsel, Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,119

SEC source: 0001047122-20-000032 · wf-form4_158224624353331.xml · nonDerivative · entry 3

Jimenez Frank R · CIK 0001465175 · VP, General Counsel, Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,881

F1 · shares: The stock sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 4, 2019.

F4 · price: (4)The reported price is based on a weighted average of multiple same-day transactions with prices ranging from $225.625 to $226.07 per share. Full information regarding the number of shares sold at each separate price is available to the Securities and Exchange Commission, the Issuer or any security holder of the Issuer upon request.

SEC source: 0001047122-20-000032 · wf-form4_158224624353331.xml · nonDerivative · entry 2

Jimenez Frank R · CIK 0001465175 · VP, General Counsel, Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,186

F1 · shares: The stock sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 4, 2019.

F3 · price: The reported price is based on a weighted average of multiple same-day transactions with prices ranging from $224.485 to $225.31 per share. Full information regarding the number of shares sold at each separate price is available to the Securities and Exchange Commission, the Issuer or any security holder of the Issuer upon request.

SEC source: 0001047122-20-000032 · wf-form4_158224624353331.xml · nonDerivative · entry 1

Jimenez Frank R · CIK 0001465175 · VP, General Counsel, Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,291

F1 · shares: The stock sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 4, 2019.

F2 · price: The reported price is based on a weighted average of multiple same-day transactions with prices ranging from $223.465 to $224.43 per share. Full information regarding the number of shares sold at each separate price is available to the Securities and Exchange Commission, the Issuer or any security holder of the Issuer upon request.

SEC source: 0001047122-20-000020 · wf-form4_158207207292780.xml · nonDerivative · entry 2

Jimenez Frank R · CIK 0001465175 · VP, General Counsel, Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,056

SEC source: 0001047122-20-000020 · wf-form4_158207207292780.xml · nonDerivative · entry 1

Jimenez Frank R · CIK 0001465175 · VP, General Counsel, Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,398

F1 · shares: Shares of the Issuer's Common Stock issued to the Reporting Person pursuant to the settlement of such person's award under the Issuer's 2017-2019 Long-Term Performance Plan.

SEC source: 0001047122-19-000201 · wf-form4_157558693411312.xml · nonDerivative · entry 1

Jimenez Frank R · CIK 0001465175 · VP, General Counsel, Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,881

F1 · shares: The stock transaction reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on October 29, 2019.