SEC FORM 4/A 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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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*
Williams Dantaya M

(Last) (First) (Middle)
870 WINTER STREET

(Street)
WALTHAM MA 02451

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
RAYTHEON TECHNOLOGIES CORP [ RTX ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
EVP & Chief HR Officer
3. Date of Earliest Transaction (Month/Day/Year)
01/02/2021
4. If Amendment, Date of Original Filed (Month/Day/Year)
01/05/2021
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 Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 01/02/2021 M 883(1) A $0(2) 6,733.7544 D
Common Stock 01/04/2021 F 168.7365(3) D $68.43 6,565.0179 D
Common Stock 01/04/2021 F 776 D $68.43 5,789.0179(4) D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Explanation of Responses:
1. Includes 441 shares of common stock that otherwise would be received upon the vesting of these restricted stock units (RSUs) for which the reporting person previously elected to defer receipt. The reporting person instead acquired 407.2635 deferred stock units (the net amount following tax withholding) that settle exclusively in shares and are included in this Table I as common stock equivalents.
2. Time-based RSUs that represent the right to receive one share of the Issuer's Common Stock per unit.
3. Due to an administrative error, the Form 4 filed on January 5, 2021 reported the number of shares of RTX common stock withheld to satisfy taxes as 135, when the actual number of shares withheld was 168.7365. This amendment is being filed to correct the number of withheld shares previously reported and the total number of securities owned following the transaction.
4. Includes 2,411.0179 deferred Performance Share Units (PSUs), including the net 407.2635 deferred units (following tax withholding) reported in the footnote above. The reporting person previously elected to defer receipt of actual shares of common stock that otherwise would be received upon the vesting of these PSUs and instead acquired deferred stock units that settle exclusively in shares and are included in Table I as common stock equivalents. Each deferred stock unit has a value equal to one share of RTX common stock. This amendment is being filed to correct the number of withheld shares previously reported and the total number of securities owned following the transaction.
/s/ Dana Ng as Attorney-In-Fact 03/22/2021
** 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).
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