Statement of Changes in Beneficial Ownership (4)
April 08 2020 - 12:39PM
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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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 * Long
Letitia A |
2. Issuer Name and Ticker or Trading
Symbol RAYTHEON CO/ [ RTN ] |
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
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(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 |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
|
1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. 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 (1) |
4/3/2020 |
|
D |
|
1993 |
D |
(1) |
0 |
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) |
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 |
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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
|
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
|
Dana Ng, Attorney-in-fact |
|
4/7/2020 |
**Signature of
Reporting Person |
Date |