0001047122-20-000121.txt : 20200408 0001047122-20-000121.hdr.sgml : 20200408 20200408153157 ACCESSION NUMBER: 0001047122-20-000121 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200403 FILED AS OF DATE: 20200408 DATE AS OF CHANGE: 20200408 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RHOADS REBECCA R CENTRAL INDEX KEY: 0001196852 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13699 FILM NUMBER: 20781947 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: RAYTHEON CO/ CENTRAL INDEX KEY: 0001047122 STANDARD INDUSTRIAL CLASSIFICATION: SEARCH, DETECTION, NAVIGATION, GUIDANCE, AERONAUTICAL SYS [3812] IRS NUMBER: 951778500 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 870 WINTER STREET CITY: WALTHAM STATE: MA ZIP: 02451-1449 BUSINESS PHONE: 781-522-3000 MAIL ADDRESS: STREET 1: 870 WINTER STREET CITY: WALTHAM STATE: MA ZIP: 02451-1449 FORMER COMPANY: FORMER CONFORMED NAME: HE HOLDINGS INC DATE OF NAME CHANGE: 19971001 4 1 wf-form4_158637429749554.xml FORM 4 X0306 4 2020-04-03 1 0001047122 RAYTHEON CO/ RTN 0001196852 RHOADS REBECCA R 870 WINTER STREET WALTHAM MA 02451 0 1 0 0 Vice President Common Stock 2020-04-03 4 D 0 20460 D 0 D Common Stock 2020-04-03 4 D 0 1853 D 0 I 401(k) Common Stock 2020-04-03 4 D 0 4101 D 0 I Benefit Plan Restricted Stock Units 2020-04-03 4 D 0 2345 D Common Stock 2345.0 8320 D Restricted Stock Units 2020-04-03 4 D 0 3623 D Common Stock 3623.0 4697 D Restricted Stock Units 2020-04-03 4 D 0 4697 D Common Stock 4697.0 0 D Performance Stock Units 2020-04-03 4 D 0 6857 D Common Stock 6857.0 11302 D Performance Stock Units 2020-04-03 4 D 0 6815 D Common Stock 6815.0 4487 D Performance Stock Units 2020-04-03 4 D 0 4487 D Common Stock 4487.0 0 D 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. Includes 18,704 restricted shares of Raytheon Common Stock that were converted into shares of UTC Common Stock and 1,756 restricted shares of Raytheon Common Stock that were converted into awards of restricted shares of UTC Common Stock, in each case pursuant to the terms of the Merger Agreement. The Reporting Person indirectly beneficially owned 1,853 shares of Raytheon Common Stock based on funds in the Reporting Person's Savings and Investment Plan Account. The Reporting Person indirectly beneficially owned 4,101 shares of Raytheon Common Stock based on funds in the Reporting Person's other employee benefit plan accounts. Time-based restricted stock units ("RSUs"), granted on March 21, 2018, that represent the right to receive one share of Raytheon Common Stock per unit. These RSUs were converted into awards of UTC RSUs pursuant to the terms of the Merger Agreement. Time-based RSUs, granted on March 20, 2019, that represent the right to receive one share of Raytheon Common Stock per unit. These RSUs were converted into awards of UTC RSUs pursuant to the terms of the Merger Agreement. Time-based RSUs, granted on March 25, 2020, that represent the right to receive one share of Raytheon Common Stock per unit. These RSUs were converted into awards of UTC RSUs pursuant to the terms of the Merger Agreement. Represents performance-based restricted stock units ("PSUs") earned at a specific level pursuant to the term of the Merger Agreement and which had not been previously reported. The PSUs were originally granted under the 2018-2020 Long-Term Performance Plan. The PSUs were converted into an award of time-vesting UTC RSUs pursuant to the terms of the Merger Agreement. Represents PSUs earned at a specific level pursuant to the term of the Merger Agreement and which had not been previously reported. The PSUs were originally granted under the 2019-2021 Long-Term Performance Plan. The PSUs were converted into an award of time-vesting UTC RSUs pursuant to the terms of the Merger Agreement. Represents PSUs earned at a specific level pursuant to the term of the Merger Agreement and which had not been previously reported. The PSUs were originally granted under the 2020-2022 Long-Term Performance Plan. The PSUs were converted into an award of time-vesting UTC RSUs pursuant to the terms of the Merger Agreement. Dana Ng, Attorney-in-fact 2020-04-07