| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | RTX | Common Stock | Options Exercise | $1.12M | +18K | +31.93% | $62.41 | 74.4K | May 20, 2021 | Direct | F1 |
| transaction | RTX | Common Stock | Sale | -$400K | -4.72K | -6.35% | $84.64 | 69.7K | May 20, 2021 | Direct | F2 |
| transaction | RTX | Common Stock | Disposed to Issuer | -$1.12M | -13.3K | -19.06% | $84.60 | 56.4K | May 20, 2021 | Direct | |
| transaction | RTX | Common Stock | Options Exercise | $1.03M | +16.5K | +29.23% | $62.41 | 72.9K | May 24, 2021 | Direct | F1 |
| transaction | RTX | Common Stock | Sale | -$393K | -4.55K | -6.25% | $86.27 | 68.3K | May 24, 2021 | Direct | F3 |
| transaction | RTX | Common Stock | Disposed to Issuer | -$1.03M | -11.9K | -17.46% | $86.23 | 56.4K | May 24, 2021 | Direct | |
| holding | RTX | Common Stock | 1.85K | May 20, 2021 | By Savings Plan Trustee |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | RTX | Stock Appreciation Right | Options Exercise | $0 | -18K | -52.21% | $0.00 | 16.5K | May 20, 2021 | Common Stock | 18K | $62.41 | Direct | |
| transaction | RTX | Stock Appreciation Right | Options Exercise | $0 | -16.5K | -100% | $0.00* | 0 | May 24, 2021 | Common Stock | 16.5K | $62.41 | Direct |
| Id | Content |
|---|---|
| F1 | The Stock Appreciation Rights (SARs) were settled in shares in accordance with the terms of the award. For Section 16 reporting purposes, the exercise of SARs for stock is treated as an exempt acquisition of the shares underlying the SARs at the exercise price per share specified in the award of SARs and a simultaneous sale back to the issuer of a number of the underlying shares having a value, based on the market price of the issuer's stock on the date of the exercise, equal to the product of the number of underlying SARs times the exercise price per share. This Form 4 reflects the number of RTX shares underlying, and the applicable exercise price, of this SARs award after giving effect to the separation of Otis Worldwide Corporation and Carrier Global Corporation from United Technologies Corporation (UTC) on April 3, 2020 (after which UTC completed its merger of equals with Raytheon Company to form RTX). |
| F2 | The reported price is based on a weighted average of multiple same-day transactions with prices ranging from $84.635 to $84.637 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. |
| F3 | The reported price is based on a weighted average of multiple same-day transactions with prices ranging from $86.2701 to $86.2800 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. |