SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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*
NIEBERGALL ROSS

(Last) (First) (Middle)
C/O L3HARRIS TECHNOLOGIES, INC.
1025 W NASA BOULEVARD

(Street)
MELBOURNE FL 32919

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
07/28/2023
3. Issuer Name and Ticker or Trading Symbol
L3HARRIS TECHNOLOGIES, INC. /DE/ [ LHX ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
President, Aerojet Rocketdyne
5. If Amendment, Date of Original Filed (Month/Day/Year)
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 Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock, Par Value $1.00 14,773.53 D
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Non-Qualified Stock Option (Right to Buy) 06/29/2019(1) 08/25/2027(1) Common Stock, Par Value $1.00 3,250 $119.66 D
Non-Qualified Stock Option (Right to Buy) 06/29/2019(1) 08/24/2028(1) Common Stock, Par Value $1.00 3,004 $163.23 D
Non-Qualified Stock Option (Right to Buy) 06/29/2022(1) 08/01/2029(1) Common Stock, Par Value $1.00 17,354 $204.85 D
Non-Qualified Stock Option (Right to Buy) 02/28/2023(1) 02/28/2030(1) Common Stock, Par Value $1.00 5,437 $197.73 D
Non-Qualified Stock Option (Right to Buy) (2) 02/26/2031(2) Common Stock, Par Value $1.00 8,895 $181.91 D
Non-Qualified Stock Option (Right to Buy) (3) 02/25/2032(3) Common Stock, Par Value $1.00 6,942 $233.51 D
Non-Qualified Stock Option (Right to Buy) (4) 02/24/2033(4) Common Stock, Par Value $1.00 6,842 $210.15 D
Restricted Stock Units 02/26/2024(5) (5) Common Stock, Par Value $1.00 2,062 $0.00 D
Restricted Stock Units 02/25/2025(5) (5) Common Stock, Par Value $1.00 1,606 $0.00 D
Restricted Stock Units 02/24/2026(5) (5) Common Stock, Par Value $1.00 1,785 $0.00 D
Explanation of Responses:
1. Options to purchase shares of the Issuer's common stock, subject to continued employment (with certain exceptions) and the terms and conditions of the stock option award agreement.
2. Options to purchase shares of the Issuer's common stock, 2,965 of which became exercisable on 2/26/2022, 2,965 of which became exercisable on 2/26/2023 and 2,965 of which become exercisable on 2/26/2024, subject to continued employment (with certain exceptions) and the terms and conditions of the stock option award agreement.
3. Options to purchase shares of the Issuer's common stock, 2,314 of which became exercisable on 2/25/2023, 2,314 of which become exercisable on 2/25/2024 and 2,314 of which become exercisable on 2/25/2025, subject to continued employment (with certain exceptions) and the terms and conditions of the stock option award agreement.
4. Options to purchase shares of the Issuer's common stock, 2,280 of which become exercisable on 2/24/2024, 2,281 of which become exercisable on 2/24/2025 and 2,281 of which become exercisable on 2/24/2026, subject to continued employment (with certain exceptions) and the terms and conditions of the stock option award agreement.
5. Restricted stock units vest subject to continued employment (with certain exceptions) and the terms and conditions of the restricted unit award agreement. Each restricted stock unit represents a contingent right to receive 1 share of common stock, with vested units settled in shares common stock.
Remarks:
Exhibit List: Exhibit 24 - Power of Attorney
By:/s/ John C. Scarborough Jr., Attorney-in-Fact For: Ross Niebergall 08/07/2023
** 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 5 (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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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 Number.