SEC Filing

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SEC FORM 3/A SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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1. Name and Address of Reporting Person^*

Williams Dantaya M

(Last)

(First)

(Middle)

870 WINTER STREET

(Street)

WALTHAM

02451

(City)

(State)

(Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
06/10/2020

3. Issuer Name and Ticker or Trading Symbol
RAYTHEON TECHNOLOGIES CORP [ RTX ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
Chief Human Resources Officer

5. If Amendment, Date of Original Filed (Month/Day/Year)
06/15/2020

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
1. Title of Derivative Security (Instr. 4)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
Restricted Stock Units	01/02/2021	⁽¹⁾	Common Stock	2,077⁽²⁾	⁽¹⁾	D
Restricted Stock Units	02/04/2023	⁽¹⁾	Common Stock	1,831⁽²⁾	⁽¹⁾	D
Restricted Stock Units	02/05/2022	⁽¹⁾	Common Stock	1,352⁽²⁾	⁽¹⁾	D
Restricted Stock Units	10/01/2021	⁽¹⁾	Common Stock	909⁽²⁾	⁽¹⁾	D
SRP Stock Unit	⁽³⁾	⁽³⁾	Common Stock	363.745⁽²⁾	⁽³⁾	D
Stock Appreciation Right	01/02/2016	01/01/2023	Common Stock	3,745⁽²⁾	62.41⁽²⁾	D
Stock Appreciation Right	01/04/2019	01/03/2026	Common Stock	2,553⁽²⁾	71.01⁽²⁾	D
Stock Appreciation Right	02/05/2022	02/04/2029	Common Stock	12,142⁽⁴⁾	71.62⁽²⁾	D
Stock Appreciation Right	01/02/2021	01/01/2028	Common Stock	4,975⁽⁵⁾	76⁽²⁾	D
Stock Appreciation Right	01/03/2020	01/02/2027	Common Stock	4,681⁽²⁾	82.35⁽²⁾	D
Stock Appreciation Right	01/02/2017	01/01/2024	Common Stock	2,809⁽²⁾	83.58⁽²⁾	D
Stock Appreciation Right	01/02/2018	01/01/2025	Common Stock	1,872⁽²⁾	85.47⁽²⁾	D
Stock Appreciation Right	02/04/2023	02/03/2030	Common Stock	10,118⁽²⁾	90.73⁽²⁾	D

Explanation of Responses:

1. 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.

2. On April 3, 2020, United Technologies Corporation completed its separation into three independent, publicly-traded companies (the "Separation"): United Technologies Corporation, Carrier Global Corporation, and Otis Worldwide Corporation and, immediately following the Separation, United Technologies Corporation completed its merger of equals with Raytheon Company to form RTX. In connection with the Separation, all equity awards held by the reporting person with respect to United Technologies Corporation common stock as of the Separation were equitably adjusted. This Form 3 is being amended to reflect the number of RTX shares underlying, and the applicable exercise price (if any), of each equity award after giving effect to such adjustment, which had not yet been determined as of the date of the original filing.

3. Each Savings Restoration Plan ("SRP") stock unit is the economic equivalent of one share of RTX common stock. The reported SRP stock units were acquired under legacy United Technologies Corporation's Savings Restoration Plan, an excess benefit plan, and are to be settled upon the reporting person's retirement or other termination of service.

4. In February 2019, the reporting person was also awarded performance share units ("PSUs") under the legacy United Technologies Corporation Long-Term Incentive Plan, which after giving effect to the Separation-related adjustment were converted to RSUs and relate to 1,070 shares of RTX Common Stock. Each RSU represents the right to receive one share of RTX Common Stock.

5. In January 2018, the reporting person was also awarded PSUs under the legacy United Technologies Corporation Long-Term Incentive Plan, which after giving effect to the Separation-related adjustment were converted to RSUs and relate to 883 shares of RTX Common Stock. Each RSU represents the right to receive one share of RTX Common Stock.

	/s/ Dana Ng as Attorney-In-Fact	10/23/2020
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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