Delaware
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06-0570975
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(State or other jurisdiction of
incorporation or organization)
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(I.R.S. Employer
Identification No.)
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870 Winter Street, Waltham, Massachusetts
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02451
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(Address of Principal Executive Offices)
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(Zip Code)
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Jeannemarie O’Brien
Erica E. Bonnett
Wachtell, Lipton, Rosen & Katz
51 West 52nd Street
New York, New York 10019
(212) 403-1000
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John J. Cannon, III
Shearman & Sterling LLP
599 Lexington Avenue
New York, New York 10022-6069
(212) 848-4000
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Large accelerated filer
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☒
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Accelerated filer
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☐
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Non-accelerated filer
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☐
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Smaller reporting company
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☐
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Emerging growth company
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☐
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Title of
Securities to be Registered
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Amount to be
Registered (1)
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Proposed
Maximum
Offering
Price Per
Share
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Proposed Maximum
Aggregate Offering
Price (2)
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Amount of
Registration Fee (2)
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Common Stock, par value $1.00 per share
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2,400,000 (3)
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N/A
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N/A
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N/A
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(1) |
Pursuant to Rule 416(a) under the Securities Act of 1933, as amended (the “Securities Act”), this Registration Statement also covers such additional shares of Common Stock, par value $1.00 per share (“Common Stock”), of Raytheon Technologies Corporation (formerly known as United Technologies Corporation) (the “Company”) that become issuable by reason of any stock split, stock dividend, recapitalization or other similar transaction that results in an increase in the number of outstanding shares of Common Stock.
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(2) |
All filing fees payable in connection with the registration of these securities were already paid in connection with the filing of the Company’s original registration statement on
Form S-4 (File No. 333-232696) filed with the Securities and Exchange Commission (the “Commission”) on July 17, 2019, as amended by the pre-effective Amendment No. 1 thereto filed with the Commission on August 15, 2019 and the
pre-effective Amendment No. 2 thereto filed with the Commission on September 4, 2019, to which this Registration Statement is Post-Effective Amendment No. 1. Accordingly, no additional filing fee is required. See “Explanatory Note.”
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(3) |
Represents 2,400,000 shares of Common Stock issuable pursuant to the Raytheon 2010 Stock Plan (the “2010 Plan”) and the Raytheon 2019 Stock Plan (the “2019 Plan”).
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• |
the Company’s Annual Report on Form 10-K for the fiscal year ended December 31, 2019, filed with the Commission on February 6, 2020;
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• |
the Company’s Current Reports on Form 8-K filed with the Commission on February 28, 2020
and March 13, 2020; and
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• |
the description of the Company’s common stock contained in the Form S-4.
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4.1 |
Restated Certificate of Incorporation of Raytheon Technologies Corporation, effective as of April 3, 2020 (incorporated by reference to Exhibit 4.1 of Raytheon Technologies
Corporation’s Registration Statement on Form S-8, filed with the Commission on April 6, 2020 (File No. 333-237576)).
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4.2 |
Bylaws of Raytheon Technologies Corporation, effective as of April 3, 2020 (incorporated by reference to Exhibit 4.2 of Raytheon Technologies Corporation’s Registration Statement on
Form S-8, filed with the Commission on April 6, 2020 (File No. 333-237576)).
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4.3 |
Raytheon 2010 Stock Plan (incorporated by reference to Appendix B to Raytheon Company’s 2010 definitive proxy statement, filed with the Commission on April 26, 2010).
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4.4 |
Raytheon 2019 Stock Plan (incorporated by reference to Exhibit 99.1 of Raytheon Company’s Registration Statement on Form S-8, filed with the Commission on May 30, 2019 (File No.
333-231814)).
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5.1 |
Opinion of Richard M. Kaplan, Esq., Vice President and Associate General Counsel.*
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23.1 |
Consent of PricewaterhouseCoopers LLP, Independent Public Registered Accounting Firm for Raytheon Technologies Corporation.*
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23.2 |
Consent of Richard M. Kaplan, Esq. (included in Exhibit 5.1).*
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24.1 |
Powers of Attorney (incorporated by reference to Exhibit 24.1 of Raytheon Technologies Corporation’s Registration Statement on Form S-8, filed with the Commission on April 6, 2020
(File No. 333-237576)).
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* |
Filed herewith
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(a) |
The undersigned registrant hereby undertakes:
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(1) |
To file, during any period in which offers or sales are being made, a post-effective amendment to this registration statement:
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(i) |
to include any prospectus required by Section 10(a)(3) of the Securities Act;
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(ii) |
to reflect in the prospectus any facts or events arising after the effective date of this Registration Statement (or the most recent post-effective amendment thereof) which,
individually or in the aggregate, represent a fundamental change in the information set forth in this registration statement. Notwithstanding the foregoing, any increase or decrease in volume of securities offered (if the total dollar
value of securities offered would not exceed that which was registered) and any deviation from the low or high end of the estimated maximum offering range may be reflected in the form of prospectus filed with the Commission pursuant to
Rule 424(b) if, in the aggregate, the changes in volume and price represent no more than 20% change in the maximum aggregate offering price set forth in the “Calculation of Registration Fee” table in the effective registration statement;
and
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(iii) |
to include any material information with respect to the plan of distribution not previously disclosed in this registration statement or any material change to such information in
this registration statement;
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(2) |
That, for the purpose of determining any liability under the Securities Act, each such post-effective amendment shall be deemed to be a new registration statement relating to the
securities offered therein, and the offering of such securities at that time shall be deemed to be the initial bona fide offering thereof.
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(3) |
To remove from registration by means of a post-effective amendment any of the securities being registered which remain unsold at the termination of the offering.
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(b) |
The undersigned registrant hereby undertakes that, for purposes of determining any liability under the Securities Act, each filing of the registrant’s annual report pursuant to
Section 13(a) or Section 15(d) of the Exchange Act (and, where applicable, each filing of an employee benefit plan’s annual report pursuant to Section 15(d) of the Exchange Act), that is incorporated by reference in this Registration
Statement shall be deemed to be a new registration statement relating to the securities offered therein, and the offering of such securities at that time shall be deemed to be the initial bona fide offering thereof.
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(c) |
Insofar as indemnification for liabilities arising under the Securities Act may be permitted to directors, officers and controlling persons of the registrant pursuant to the
foregoing provisions, or otherwise, the registrant has been advised that in the opinion of the Commission such indemnification is against public policy as expressed in the Securities Act and is, therefore, unenforceable. In the event that
a claim for indemnification against such liabilities (other than the payment by the registrant of expenses incurred or paid by a director, officer or controlling person of the registrant in the successful defense of any action, suit or
proceeding) is asserted by such director, officer or controlling person in connection with the securities being registered, the registrant will, unless in the opinion of its counsel the matter has been settled by controlling precedent,
submit to a court of appropriate jurisdiction the question whether such indemnification by it is against public policy as expressed in the Securities Act and will be governed by the final adjudication of such issue.
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RAYTHEON TECHNOLOGIES CORPORATION
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By
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/s/ Frank. R. Jimenez
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Name: Frank R. Jimenez
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Title: Executive Vice President and General Counsel
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Signature
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Title
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*
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President, Chief Executive Officer and Director
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Gregory J. Hayes
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/s/ Anthony F. O’Brien
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Executive Vice President and Chief Financial Officer
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Anthony F. O’Brien
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/s/ Michael J. Wood
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Corporate Vice President, Controller
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Michael J. Wood
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*
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Director
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Tracy A. Atkinson
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*
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Director
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Lloyd J. Austin III
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*
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Executive Chair of the Board of Directors
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Thomas A. Kennedy
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*
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Director
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Marshall O. Larsen
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*
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Director
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George R. Oliver
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*
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Director
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Robert K. Ortberg
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*
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Director
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Margaret L. O’Sullivan
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*
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Director
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Dinesh C. Paliwal
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*
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Director
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Ellen M. Pawlikowski
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*
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Director
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Denise L. Ramos
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*
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Director
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Fredric G. Reynolds
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*
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Director
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Brian C. Rogers
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*
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Director
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James A. Winnefeld, Jr.
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*
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Director
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Robert O. Work
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By:
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/s/ Frank R. Jimenez
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Frank R. Jimenez
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Attorney-in-Fact
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(i)
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the Corporation’s Restated Certificate of Incorporation, restated as of April 3, 2020;
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(ii)
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the Corporation’s Bylaws, as amended and restated effective April 3, 2020;
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(iii)
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certain resolutions adopted by the Board of Directors of the Corporation;
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(iv)
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copies of the Plans; and
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(v)
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the Registration Statement.
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Very truly yours,
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/s/ Richard M. Kaplan
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Richard M. Kaplan
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Vice President & Associate General Counsel
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