RTX 10-K Annual Report Dec. 31, 2019 | Alphaminr
RAYTHEON TECHNOLOGIES CORP
ALPHAMINR

RTX 10-K Fiscal year ended Dec. 31, 2019

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RAYTHEON TECHNOLOGIES CORP
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TABLE OF CONTENTS
Part IItem 1. BusinessItem 1A. Risk FactorsItem 1B. Unresolved Staff CommentsItem 2. PropertiesItem 3. Legal ProceedingsItem 4. Mine Safety DisclosuresPart IIItem 5. Market For Registrant S Common Equity, Related Stockholder Matters and Issuer Purchases Of Equity SecuritiesItem 6. Selected Financial DataItem 7. Management S Discussion and Analysis Of Financial Condition and Results Of OperationsItem 7A. Quantitative and Qualitative Disclosures About Market RiskItem 8. Financial Statements and Supplementary DataItem 9. Changes in and Disagreements with Accountants on Accounting and Financial DisclosureItem 9A. Controls and ProceduresItem 9B. Other InformationPart IIIItem 10. Directors, Executive Officers and Corporate GovernanceItem 11. Executive CompensationItem 12. Security Ownership Of Certain Beneficial Owners and Management and Related Stockholder MattersItem 13. Certain Relationships and Related Transactions, and Director IndependenceItem 14. Principal Accounting Fees and ServicesPart IVItem 15. Exhibits and Financial Statement SchedulesItem 16. Form 10-k Summary

Exhibits

2.1 Agreement and Plan of Merger, dated as of September 4, 2017, by and among United Technologies Corporation, Riveter Merger Sub Corp. and Rockwell Collins, Inc., incorporated by reference to UTCs Current Report on Form 8-K (Commission file number 1-812) filed with the SEC on September 6, 2017. 2.2 Agreement and Plan of Merger, dated as of June 9, 2019, by and among United Technologies Corporation, Light Merger Sub Corp. and Raytheon Company, incorporated by reference to UTCs Current Report on Form 8-K (Commission file number 1-812) filed with the SEC on June 10, 2019. 3(i) Restated Certificate of Incorporation, restated as of April 25, 2016, incorporated by reference to Exhibit 3.1 to UTCs Current Report on Form 8-K (Commission file number 1-812) filed with the SEC on April 25, 2016. 3(ii) Bylaws as amended and restated effectiveJanuary 3, 2020,incorporated by reference to Exhibit 3.2 to UTC's Current Report on Form 8-K (Commission file number 1-812) filed with the SEC onJanuary 3, 2020. 4.2 Description of Securities.* 10.2 United Technologies Corporation Pension Preservation Plan, as amended and restated, effective December 31, 2009, incorporated by reference to Exhibit 10.3 to UTCs Annual Report on Form 10-K (Commission file number 1-812) for the fiscal year ended December 31, 2009. 10.3 United Technologies Corporation Senior Executive Severance Plan, incorporated by reference to Exhibit 10(vi) to UTCs Annual Report on Form 10-K (Commission file number 1-812) for the fiscal year ended December 31, 1992, as amended byAmendment thereto, effective December 10, 2003, incorporated by reference to Exhibit 10.4 of UTCs Annual Report on Form 10-K (Commission file number 1-812) for the fiscal year ended December 31, 2003, andAmendment thereto, effective June 11, 2008, incorporated by reference to Exhibit 10.4 of UTCs Quarterly Report on Form 10-Q (Commission file number 1-812) for the quarterly period ended June 30, 2008, andAmendment thereto, effective February 10, 2011, incorporated by reference to Exhibit 10.4 to UTCs Annual Report on Form 10-K (Commission file number 1-812) for the fiscal year ended December 31, 2010. 10.4 United Technologies Corporation Deferred Compensation Plan, as amended and restated, effective January 1, 2011, incorporated by reference to Exhibit 10.1 of UTCs Quarterly Report on Form 10-Q (Commission file number 1-812) for the quarterly period ended June 30, 2018. 10.5 United Technologies Corporation Executive Leadership Group Program, as amended and restated, effective October 15, 2013, incorporated by reference to Exhibit 10.11 to UTCs Quarterly Report on Form 10-Q (Commission file number 1-812) for the quarterly period ended September30, 2013;andUnited Technologies Executive Leadership Group Program,effective April 1, 2019.* 10.6 Schedule of Terms for Restricted Share Unit Retention Awards relating to the United Technologies Corporation Executive Leadership Group Program (referred to above in Exhibit 10.6), incorporated by reference to Exhibit 10.12 to UTCs Quarterly Report on Form 10-Q (Commission file number 1-812) for the quarterly period ended September 30, 2013;and Schedule of Terms of Restricted Share UnitRetention Awardsrelating to the United Technologies Leadership Group Program, effective April 1, 2019(referredto above in Exhibit 10.5).* 10.7 Form of Award Agreement for Restricted Share Unit Retention Awards relating to the United Technologies Corporation Executive Leadership Group Program (referred to above in Exhibit 10.6), incorporated by reference to Exhibit 10.13 to UTCs Quarterly Report on Form 10-Q (Commission file number 1-812) for the quarterly period ended September 30, 2013;and Form of Award Agreement for Restricted Share Unit Retention Awards relating to the United Technologies Leadership Group Program, effective April 1, 2019 (referred to above in Exhibit 10.5).* 10.8 United Technologies Corporation Board of Directors Deferred Stock Unit Plan, as Amended and Restated, effective as of April 29, 2019, incorporated by reference to Exhibit 10.8 to UTCs Annual Report on Form 10-K (Commission file number 1-812) for the fiscal year ended December 31, 2018. 10.9 Retainer Payment Election Form for United Technologies Corporation Board of Directors Deferred Stock Unit Plan(referred to above in Exhibit 10.8),incorporated by reference to Exhibit 10.9 to UTCs Annual Report on Form 10-K (Commission file number 1-812) for the fiscal year ended December 31, 2018. 10.10 Form of Deferred Restricted Stock Unit Award relating to the United Technologies Corporation Board of Directors Deferred Stock Unit Plan (referred to above in Exhibit 10.8),incorporated by reference to Exhibit 10.10 to UTCs Annual Report on Form 10-K (Commission file number 1-812) for the fiscal year ended December 31, 2018.. 10.11 United Technologies Corporation Long-Term Incentive Plan, as amended and restated effective April 28, 2014, incorporated by reference to Exhibit 10.1 to UTCs Current Report on Form 8-K (Commission file number 1-812) filed with the SEC on May 2, 2014, as further amended byAmendment No. 1, effective as of February 5, 2016, incorporated by reference to Exhibit 10.12 to UTC's Annual Report on Form 10-K (Commission file number 1-812) for the fiscal year ended December 31, 2015. 10.12 Schedule of Terms for restricted stock awards relating to the United Technologies Corporation Long-Term Incentive Plan (referred to above in Exhibit 10.11) (Rev. January 2016), incorporated by reference to Exhibit 10.13 to UTCs Annual Report on Form 10-K (Commission file number 1-812) for the fiscal year ended December 31, 2015. 10.13 Schedule of Terms for non-qualified stock option awards relating to the United Technologies Corporation Long-Term Incentive Plan (referred to above in Exhibit 10.11) (Rev. January 2016), incorporated by reference to Exhibit 10.15 to UTCs Annual Report on Form 10-K (Commission file number 1-812) for the fiscal year ended December 31, 2015. 10.14 Form of Award Agreement for non-qualified stock option awards relating to the United Technologies Corporation Long-Term Incentive Plan (referred to above in Exhibit 10.11), incorporated by reference to Exhibit 10.15 to UTC's Annual Report on Form 10-K (Commission file number 1-812) for the fiscal year ended December 31, 2016. 10.15 Schedule of Terms for performance share unit awards relating to the United Technologies Corporation Long-Term Incentive Plan (referred to above in Exhibit 10.11) (Rev. January 2016), incorporated by reference to Exhibit 10.17 to UTCs Annual Report on Form 10-K (Commission file number 1-812) for the fiscal year ended December 31, 2015. 10.16 Schedule of Terms for stock appreciation rights awards relating to the United Technologies Corporation 2005 Long-Term Incentive Plan (referred to above in Exhibit 10.11) (Rev. January 2016), incorporated by reference to Exhibit 10.18 to UTCs Annual Report on Form 10-K (Commission file number 1-812) for the fiscal year ended December 31, 2015. 10.17 Form of Award Agreement for restricted stock unit, performance share unit and stock appreciation rights awards relating to the United Technologies Corporation Long-Term Incentive Plan (referred to above in Exhibit 10.11), incorporated by reference to Exhibit 10.18 to UTC's Annual Report on Form 10-K (Commission file number 1-812) for the fiscal year ended December 31, 2016. 10.18 United Technologies Corporation LTIP Performance Share Unit Deferral Plan, relating to the Long-Term Incentive Plan (referred to above in Exhibit 10.12), incorporated by reference to Exhibit 10.36 of UTCs Annual Report on Form 10-K (Commission file number 1-812) for the fiscal year ended December 31, 2008. 10.19 United Technologies Corporation International Deferred Compensation Replacement Plan, effective January 1, 2005, incorporated by reference to Exhibit 10.35 of UTCs Annual Report on Form 10-K (Commission file number 1-812) for the fiscal year ended December 31, 2008. 10.20 United Technologies Corporation Company Automatic Contribution Excess Plan executed July 16, 2018 (amended and restated as of January 1, 2010), incorporated by reference to Exhibit 10.2 to UTC's Quarterly Report on Form 10-Q (Commission file number 1-812) for the quarterly period ended June 30, 2018. 10.21 United Technologies Corporation Savings Restoration Plan executed July 16, 2018 (amended and restated as of January 1, 2011), incorporated by reference to Exhibit 10.3 to UTC's Quarterly Report on Form 10-Q (Commission file number 1-812) for the quarterly period ended June 30, 2018. 10.22 UTC 2018 Long-Term Incentive Plan, incorporated by reference to Exhibit 10.1 to UTC's Current Report on Form 8-K (Commission file number 1-812) filed with the SEC on May 3, 2018. 10.23 Schedule of Terms for restricted stock unit award relating to the United Technologies Corporation 2018 Long-Term Incentive Plan (referred to above in Exhibit 10.22), incorporated by reference to Exhibit 10.23 to UTCs Annual Report on Form 10-K (Commission file number 1-812) for the fiscal year ended December 31, 2018. 10.24 Schedule of Terms for stock appreciation rights award relating to the United Technologies Corporation 2018 Long-Term Incentive Plan (referred to above in Exhibit 10.22),incorporated by reference to Exhibit 10.24 to UTCs Annual Report on Form 10-K (Commission file number 1-812) for the fiscal year ended December 31, 2018. 10.25 Schedule of Terms for performance share unit award relating to the United Technologies Corporation 2018 Long-Term Incentive Plan (referred to above in Exhibit 10.22),incorporated by reference to Exhibit 10.25 to UTCs Annual Report on Form 10-K (Commission file number 1-812) for the fiscal year ended December 31, 2018. 10.27 Form of Performance Share Agreement under Rockwell Collins 2015 Long-Term Incentives Plan (referred to above in Exhibit 10.26), incorporated by reference to Exhibit 10-a-1 to Rockwell Collins Quarterly Report on Form 10-Q (Commission file number 0001-16445) for the quarterly period ended December 31, 2017. 10.28 Form of Restricted Stock Unit Agreement under Rockwell Collins 2015 Long-Term Incentives Plan (referred to above in Exhibit 10.26), incorporated by reference to Exhibit 10-a-2 to Rockwell Collins Quarterly Report on Form 10-Q (Commission file number 0001-16445) for the quarterly period ended December 31, 2017. 10.29 Compensation Recovery Policy acknowledgment and agreement, incorporated by reference to Exhibit 10-c-1 to Rockwell Collins Quarterly Report on Form 10-Q (Commission file number 0001-16445) for the quarterly period ended December 31, 2012. 10.30 Rockwell Collins Deferred Compensation Plan, as amended, incorporated by referenced to Exhibit 10-f-2 to Rockwell Collins Annual Report on Form 10-K (Commission file number 0001-16445) for the fiscal year ended September 30, 2007;Amendment No. 1 to Rockwell Collins Deferred Compensation Plan, as amended, incorporated by reference to Exhibit 10-f-2 to Rockwell Collins Annual Report on Form 10-K/A (Commission file number 0001-16445) for the fiscal year ended September 30, 2018. 10.31 Rockwell Collins 2005 Deferred Compensation Plan, as amended and restated as of June 27, 2017, incorporated by reference to Exhibit 10-f-1 to Rockwell Collins Quarterly Report on Form 10-Q (Commission file number 0001-16445) for the quarterly period ended June 30, 2017;Amendment No. 1 to Rockwell Collins 2005 Deferred Compensation Plan, incorporated by reference to Exhibit 10-f-1 to Rockwell Collins Quarterly Report on Form 10-Q (Commission file number 0001-16445) for the quarterly period ended December 31, 2017;Amendment No. 2 to Rockwell Collins 2005 Deferred Compensation Plan, as amended, incorporated by reference to Exhibit 10-f-6 to Rockwell Collins Annual Report on Form 10-K/A (Commission file number 0001-16445) for the fiscal year ended September 30, 2018. 10.32 Rockwell Collins Non-Qualified Savings Plan, as amended, incorporated by referenced to Exhibit 10-g-2 to Rockwell Collins Annual Report on Form 10-K (Commission file number 0001-16445) for the fiscal year ended September 30, 2007;Amendment No. 1 to Rockwell Collins Non-Qualified Savings Plan, incorporated by reference to Exhibit 10-g-2 Rockwell Collins Annual Report on Form 10-K/A (Commission file number 0001-16445) for the fiscal year ended September 30, 2018. 10.33 Rockwell Collins 2005 Non-Qualified Retirement Savings Plan, as amended and restated as of July 17, 2018, incorporated by referenced to Exhibit 10-g-6 to Rockwell Collins Annual Report on Form 10-K/A (Commission file number 0001-16445) for the fiscal year ended September 30, 2018. 10.34 Rockwell Collins 2005 Non-Qualified Pension Plan, as amended, incorporated by reference to Exhibit 10-h-1 to Rockwell Collins Quarterly Report on Form 10-Q (Commission file number 0001-16445) for the quarterly period ended June 30, 2012;Amendment No. 1 to Rockwell Collins Non-Qualified Pension Plan, as amended, incorporated by reference to Exhibit 10-h-1 to Rockwell Collins Quarterly Report on Form 10-Q (Commission file number 0001-16445) for the quarterly period ended December 31, 2015;Amendment No. 2 to Rockwell Collins 2005 Non-Qualified Pension Plan, as amended, incorporated by reference to Exhibit 10-h-3 to Rockwell Collins Annual Report on Form 10-K/A (Commission file number 0001-16445) for the fiscal year ended September 30, 2018. 10.35 Rockwell Collins Master Trust, as amended, incorporated by reference to Exhibit 10-i-2 to Rockwell Collins Annual Report on Form 10-K (Commission file number 0001-16445) for the fiscal year ended September 30, 2007;Amendment No. 1 to Rockwell Collins Master Trust, as amended, incorporated by reference to Exhibit 10-i-2 to Rockwell Collins Annual Report on Form 10-K/A (Commission file number 0001-16445) for the fiscal year ended September 30, 2018;Amendment No. 2 to Rockwell Collins Master Trust, as amended;and Amendment No.3 to Rockwell Collins Master Trust,as amended, incorporated by reference to Exhibit 10.35 to UTCs Annual Report on Form 10-K (Commission file number 1-812) for the fiscal year ended December 31, 2018. 10.36 Rockwell Collins Short-term Relocation Benefit to Rockwell Collins CEO, CFO and two other executive officers, incorporated by reference to Exhibit 10-e-1 to Rockwell Collins Quarterly Report on Form 10-Q (Commission file number 0001-16445) for the quarterly period ended March 31, 2018;Description of the Extension to the Short-Term Relocation Benefit for the Companys CEO, CFO and two other executive officers, incorporated by referenced to Exhibit 10-j-2 to Rockwell Collins Annual Report on Form 10-K/A (Commission file number 0001-16445) for the fiscal year ended September 30, 2018. 10.37 Compensation & Covenants Agreement between United Technologies Corporation and Robert K. Ortberg, effective as of November 26, 2018 , incorporated by reference to Exhibit 10.37 to UTCs Annual Report on Form 10-K (Commission file number 1-812) for the fiscal year ended December 31, 2018. 10.38 Employment Agreement, dated as of June 9, 2019, by and between United Technologies Corporation and Gregory J. Hayes, incorporated by reference to Exhibit 10.1 UTCs Current Report on Form 8-K (Commission file number 1-812) filed with the SEC on June 10, 2019. 10.39 United Technologies Corporation Merger Severance Plan for Corporate Office Executives and Other Key Employees, incorporated by reference to Exhibit 10.1 of UTCs Quarterly Report on Form 10-Q (Commission file number 1-812) for the quarterly period ended June 30, 2019. 10.40 Amendment dated February 3, 2020, to the terms of certain awards granted under UTCs Long Term Incentive Plans Amendment dated February 3, 2020, to the terms of certain awards granted under UTCs Long Term Incentive Plans referred to above in Exhibit 10.11 and 10.22, by and between, United Technologies Corporation and Judy Marks.* to above in Exhibit 10.11 and 10.22, by and between, United Technologies Corporation and Judy Marks.* 13 Excerpts from UTCs 2019 Annual Report to Shareowners for the year ended December 31, 2019.* 21 Subsidiaries of the Registrant.*of the Registrant.* 23 Consent of PricewaterhouseCoopers LLP.* 24 Powers of Attorney of Lloyd J. Austin III,John V. Faraci, Jean-Pierre Garnier, Christopher J. Kearney, Ellen J. Kullman, Marshall O. Larsen, Harold W. McGraw III, Margaret L. O'Sullivan, Denise L. Ramos, Fredric G. Reynolds and Brian C. Rogers.* 31.1 Rule 13a-14(a)/15d-14(a) Certification.* 31.2 Rule 13a-14(a)/15d-14(a) Certification.* 31.3 Rule 13a-14(a)/15d-14(a) Certification.* 32 Section1350Certifications.*