Statement of Changes in Beneficial Ownership (4)
06 9월 2019 - 6:11AM
Edgar (US Regulatory)
FORM 4
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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).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
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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
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Brown William M |
2. Issuer Name and Ticker or Trading Symbol
L3HARRIS TECHNOLOGIES, INC. /DE/
[
LHX
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chairman and CEO
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(Last)
(First)
(Middle)
L3HARRIS TECHNOLOGIES, INC., 1025 W. NASA BOULEVARD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
9/3/2019
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(Street)
MELBOURNE, FL 32919
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ 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. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. 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
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V
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Amount
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(A) or (D)
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Price
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Common Stock, Par Value $1.00
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9/3/2019
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M(1)
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65000
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A
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$36.66
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432443.29 (2)
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D
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Common Stock, Par Value $1.00
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9/3/2019
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S(1)
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22660
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D
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$209.31 (3)
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409783.29
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D
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Common Stock, Par Value $1.00
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9/3/2019
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S(1)
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33232
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D
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$209.31 (4)
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376551.29
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D
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Common Stock, Par Value $1.00
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9/3/2019
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S(1)
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8908
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D
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$209.31 (5)
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367643.29
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D
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Common Stock, Par Value $1.00
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9/3/2019
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S(1)
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200
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D
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$209.31 (6)
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367443.29
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D
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Common Stock, Par Value $1.00
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9/4/2019
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M(1)
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65000
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A
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$36.66
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432443.29
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D
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Common Stock, Par Value $1.00
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9/4/2019
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S(1)
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4270
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D
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$212.83 (7)
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428173.29
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D
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Common Stock, Par Value $1.00
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9/4/2019
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S(1)
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7080
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D
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$212.83 (8)
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421093.29
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D
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Common Stock, Par Value $1.00
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9/4/2019
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S(1)
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45292
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D
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$212.83 (9)
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375801.29
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D
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Common Stock, Par Value $1.00
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9/4/2019
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S(1)
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8358
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D
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$212.83 (10)
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367443.29
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D
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. 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
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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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Non-Qualified Stock Option (Right to Buy)
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$36.66
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9/3/2019
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M
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65000
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11/1/2014
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11/1/2021
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Common Stock, Par Value $1.00
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65000
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$0.00
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301552
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D
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Non-Qualified Stock Option (Right to Buy)
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$36.66
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9/4/2019
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M
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65000
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11/1/2014
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11/1/2021
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Common Stock, Par Value $1.00
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65000
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$0.00
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236552
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D
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Explanation of Responses:
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(1)
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The exercise of options and sale of the underlying shares as reported on this Form 4 were executed pursuant to a sale plan adopted by the reporting person on August 2, 2019, pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934.
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(2)
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Includes a reduction of a .09 share in the Harris Corporation 401(k) Retirement Plan ("Plan") due to rounding by the Plan's record keeper.
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(3)
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The shares were sold as part of an overall sale of 65,000 shares at a weighted average sale price of $209.31. The prices actually received ranged from $208.03 to $209.02. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.
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(4)
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The shares were sold as part of an overall sale of 65,000 shares at a weighted average sale price of $209.31. The prices actually received ranged from $209.03 to $210.01. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.
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(5)
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The shares were sold as part of an overall sale of 65,000 shares at a weighted average sale price of $209.31. The prices actually received ranged from $210.03 to $211.00. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.
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(6)
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The shares were sold as part of an overall sale of 65,000 shares at a weighted average sale price of $209.31. The prices actually received ranged from $211.03 to $211.06. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.
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(7)
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The shares were sold as part of an overall sale of 65,000 shares at a weighted average sale price of $212.83. The prices actually received ranged from $210.39 to $211.37. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.
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(8)
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The shares were sold as part of an overall sale of 65,000 shares at a weighted average sale price of $212.83. The prices actually received ranged from $211.42 to $212.41. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.
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(9)
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The shares were sold as part of an overall sale of 65,000 shares at a weighted average sale price of $212.83. The prices actually received ranged from $212.42 to $213.41. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.
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(10)
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The shares were sold as part of an overall sale of 65,000 shares at a weighted average sale price of $212.83. The prices actually received ranged from $213.42 to $213.58. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.
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Remarks: Exhibit List:
Exhibit 24 - Power of Attorney |
Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Brown William M L3HARRIS TECHNOLOGIES, INC. 1025 W. NASA BOULEVARD MELBOURNE, FL 32919
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X
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Chairman and CEO
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Signatures
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By: /s/ Scott T. Mikuen, Attorney-in-Fact,
For William M. Brown
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9/5/2019
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**Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person, see Instruction 4(b)(v).
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**
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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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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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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 control number.
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