Statement of Changes in Beneficial Ownership (4)
09 4월 2020 - 1:39AM
Edgar (US Regulatory)
FORM 4
[X]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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
*
Long Letitia A |
2. Issuer Name and Ticker or Trading Symbol
RAYTHEON CO/
[
RTN
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
870 WINTER STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
4/3/2020 |
(Street)
WALTHAM, MA 02451
(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 (1) | 4/3/2020 | | D | | 1993 | D | (1) | 0 | D | |
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) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 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 of Derivative Security: 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 |
Deferred Restricted Stock Units | (2) | 4/3/2020 | | D | | | 878 | (2) | (2) | Common Stock | 878.0 | (2) | 1526 | D | |
Deferred Restricted Stock Units | (3) | 4/3/2020 | | D | | | 668 | (3) | (3) | Common Stock | 668.0 | (3) | 858 | D | |
Deferred Restricted Stock Units | (4) | 4/3/2020 | | D | | | 858 | (4) | (4) | Common Stock | 858.0 | (4) | 0 | D | |
Explanation of Responses: |
(1) | Pursuant to the terms of the Agreement and Plan of Merger, dated as of June 9, 2019, as amended by Amendment No. 1 to the Agreement and Plan of Merger, dated as of March 9, 2020, by and between United Technologies Corporation ("UTC") and Raytheon Company ("Raytheon") (the "Merger Agreement"), on April 3, 2020 (the "Closing Date"), Raytheon became a wholly owned subsidiary of UTC, with UTC becoming Raytheon Technologies Corporation. Pursuant to the Merger Agreement, on the Closing Date, each share of Raytheon Common Stock held by the reporting person was converted automatically into 2.3348 shares of UTC Common Stock. |
(2) | Represents restricted stock units ("RSUs") granted under the Director Deferred Restricted Stock Unit Program on May 30, 2019. These RSUs were converted into shares of UTC Common Stock pursuant to the terms of the Merger Agreement. |
(3) | Represents RSUs granted under the Director Deferred Restricted Stock Unit Program on May 31, 2018. These RSUs were converted into shares of UTC Common Stock pursuant to the terms of the Merger Agreement. |
(4) | Represents RSUs granted under the Director Deferred Restricted Stock Unit Program on May 25, 2017. These RSUs were converted into shares of UTC Common Stock pursuant to the terms of the Merger Agreement. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Long Letitia A 870 WINTER STREET WALTHAM, MA 02451 | X |
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Signatures
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Dana Ng, Attorney-in-fact | | 4/7/2020 |
**Signature of Reporting Person | Date |
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