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*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 08/13/2021 | 3. Issuer Name and Ticker or Trading Symbol L3HARRIS TECHNOLOGIES, INC. /DE/ [ LHX ] | |||||||||||||
| 4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Beneficially Owned | |||
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| 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) |
| Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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| 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) | 02/26/2024(1) | 02/26/2031 | Common Stock, Par Value $1.00 | 1,779 | 181.91 | D | |
| Performance Stock Units | (2) | (2) | Common Stock, Par Value $1.00 | 825 | 0.00(2) | D | |
| Restricted Stock Units | (3) | (3) | Common Stock, Par Value $1.00 | 413 | 0.00(3) | D | |
| Restricted Stock Units | (4) | (4) | Common Stock, Par Value $1.00 | 1,192 | 0.00(4) | D | |
| Explanation of Responses: |
| 1. 2/26/2021 grant of options to purchase shares of Issuer's common stock subject to future vesting and exercisability: 593 on first anniversary of grant date, additional 593 on second anniversary of grant date and remaining 593 on third anniversary of grant date. |
| 2. 2/26/2021 award of performance stock units subject to future vesting on 12/29/2023 in respect of 3-fiscal-year performance period that started 1/2/2021 and also subject to future adjustment based on award payout formula. Each performance stock unit represents a contingent right to 1 share of Issuer's common stock, with vested units settled in shares of Issuer's common stock. |
| 3. 2/26/2021 award of restricted stock units subject to future vesting on 2/26/2024. Each restricted stock unit represents a contingent right to 1 share of Issuer's common stock, with vested units settled in shares of Issuer's common stock. |
| 4. 8/3/2020 award of restricted stock units subject to future vesting on 8/3/2023. Each restricted stock unit represents a contingent right to 1 share of Issuer's common stock, with vested units settled in shares of Issuer's common stock. |
| Remarks: |
| Exhibit List: Exhibit 24 - Power of Attorney |
| By: /s/ Robert A. Johnson Jr., Attorney-in-Fact For: Corliss J. Montesi | 08/20/2021 | |
| ** 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. | ||