SEC FORM
4
SEC Form 4
| FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
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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| OMB Number: |
3235-0287 |
| Estimated average burden |
| hours per response: |
0.5 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
RAYTHEON TECHNOLOGIES CORP
[ RTX ]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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Director |
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10% Owner |
| X |
Officer (give title below) |
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Other (specify below) |
| President, P&W |
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3. Date of Earliest Transaction
(Month/Day/Year)
01/02/2021
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4. If Amendment, Date of Original Filed
(Month/Day/Year)
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6. Individual or Joint/Group Filing (Check Applicable Line)
| X |
Form filed by One Reporting Person |
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Form filed by More than One Reporting Person |
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| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
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| 1. Title of Security (Instr.
3)
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2. Transaction Date
(Month/Day/Year) |
2A. Deemed Execution Date, if any
(Month/Day/Year) |
3. Transaction Code (Instr.
8)
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4. Securities Acquired (A) or Disposed Of (D) (Instr.
3, 4 and 5)
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5.
Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr.
3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
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7. Nature of Indirect Beneficial Ownership (Instr.
4)
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| Code |
V |
Amount |
(A) or (D) |
Price |
| Common Stock |
01/02/2021 |
|
M |
|
11,037 |
A |
$0
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18,152 |
D |
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| Common Stock |
01/02/2021 |
|
M |
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3,985 |
A |
$0
|
22,137 |
D |
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| Common Stock |
01/04/2021 |
|
F |
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1,311 |
D |
$68.43
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20,826 |
D |
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| Common Stock |
01/04/2021 |
|
F |
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3,563 |
D |
$68.43
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17,263 |
D |
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| Common Stock |
|
|
|
|
|
|
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1,823 |
I |
By Savings Plan Trustee |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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|---|
| 1. Title of Derivative Security (Instr.
3)
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2. Conversion or Exercise Price of Derivative Security
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3. Transaction Date
(Month/Day/Year) |
3A. Deemed Execution Date, if any
(Month/Day/Year) |
4. Transaction Code (Instr.
8)
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5.
Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr.
3, 4 and 5)
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6. Date Exercisable and Expiration Date
(Month/Day/Year) |
7. Title and Amount of Securities Underlying Derivative Security (Instr.
3 and 4)
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8. Price of Derivative Security (Instr.
5)
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9.
Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr.
4)
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10. Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
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11. Nature of Indirect Beneficial Ownership (Instr.
4)
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| Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
| Restricted Stock Units |
|
01/02/2021 |
|
M |
|
|
3,985 |
|
|
Common Stock |
3,985 |
$0.0000
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86,252 |
D |
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| Restricted Stock Units |
|
01/02/2021 |
|
M |
|
|
11,037 |
|
|
Common Stock |
11,037 |
$0.0000
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75,215 |
D |
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| Explanation of Responses: |
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| Remarks: |
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/s/ Dana Ng as Attorney-In-Fact |
01/05/2021 |
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** 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
4
(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). |
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure. |
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |
POWER OF ATTORNEY
KNOW ALL PERSONS BY THESE PRESENCE that the undersigned hereby constitutes and
appoints Frank R. Jimenez, Dana Ng, James G. Marchetti, Richard A. Calame and
Michelle G. Gewandter to be his or her true and lawful attorney-in-fact and
agent to execute and file for and on behalf of the undersigned (i) and, if
applicable, 144 (including any amendments thereto and any successors to such
Forms) with respect to ownership of securities of Raytheon Technologies
Corporation of the Company) that the undersigned may be required to file with
the Securities and Exchange Commission in accordance with Section 16(a) of the
Securities Exchange Act of 1934 and the rules thereunder and/or Rule 144 under
the Securities Act of 1933, and (ii) as necessary, any other documents necessary
or appropriate to obtain codes and passwords enabling the undersigned to file
such reports electronically. The undersigned acknowledges that the foregoing
attorney-in-fact, in serving in such capacity at the request of the undersigned,
is not assuming, nor is the Company assuming, any of the undersigned's
responsibilities to comply with Section 16 of the Securities Exchange Act of
1934 and/or Rule 144 under the Securities Act of 1933. This Power of Attorney
shall remain in full force and effect until the undersigned is no longer
required to file Forms 3,4,5 and, if applicable, 144 with respect to the
undersigned's holdings and transactions in securities issued by the Company,
unless earlier revoked by the undersigned in a signed writing delivered to the
foregoing attorney-in-fact. This Power of Attorney also serves to revoke and
replace as of the date hereof, any prior Power of Attorney executed by the
undersigned with respect to the ownership of securities of the Company.
IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be
executed as of this 12th day of May, 2020.
/s/Christopher T. Calio
Christopher T. Calio
