0001140361-19-018867.txt : 20191022 0001140361-19-018867.hdr.sgml : 20191022 20191022164023 ACCESSION NUMBER: 0001140361-19-018867 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 13 CONFORMED PERIOD OF REPORT: 20191018 ITEM INFORMATION: Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements of Certain Officers FILED AS OF DATE: 20191022 DATE AS OF CHANGE: 20191022 FILER: COMPANY DATA: COMPANY CONFORMED NAME: UNITED TECHNOLOGIES CORP /DE/ CENTRAL INDEX KEY: 0000101829 STANDARD INDUSTRIAL CLASSIFICATION: AIRCRAFT ENGINES & ENGINE PARTS [3724] IRS NUMBER: 060570975 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-00812 FILM NUMBER: 191162059 BUSINESS ADDRESS: STREET 1: 10 FARM SPRINGS ROAD CITY: FARMINGTON STATE: CT ZIP: 06032 BUSINESS PHONE: 8607287000 MAIL ADDRESS: STREET 1: 10 FARM SPRINGS ROAD CITY: FARMINGTON STATE: CT ZIP: 06032 FORMER COMPANY: FORMER CONFORMED NAME: UNITED TECHNOLOGIES MICROELECTRONICS CENTER DATE OF NAME CHANGE: 19850825 FORMER COMPANY: FORMER CONFORMED NAME: UNITED TECHNOLOGIES CORP DATE OF NAME CHANGE: 19841205 8-K 1 nc10004787x8_8k.htm 8-K

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C.  20549


FORM 8-K

CURRENT REPORT

Pursuant to Section 13 OR 15(d) of
The Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): October 22, 2019 (October 18, 2019)


UNITED TECHNOLOGIES CORPORATION
(Exact name of registrant as specified in its charter)


Delaware
 
001-00812
 
06-0570975
(State or other jurisdiction
of incorporation)
 
(Commission
File Number)
 
(IRS Employer
Identification No.)

10 Farm Springs Road
Farmington, Connecticut 06032
(Address of principal executive offices, including zip code)

(Registrant’s telephone number, including area code)
(860) 728-7000

N/A
(Former name or former address, if changed since last report)



Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:


Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)


Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)


Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))


Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company  

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.   ☐

Securities registered pursuant to Section 12(b) of the Act:

Title of each class
Trading Symbol(s)
Name of each exchange on which registered
Common Stock ($1 par value)
UTX
New York Stock Exchange
(CUSIP 913017 10 9)
   
1.125% Notes due 2021
UTX 21D
New York Stock Exchange
(CUSIP 913017 CD9)
   
1.250% Notes due 2023
UTX 23
New York Stock Exchange
(CUSIP U91301 AD0)
   
1.150% Notes due 2024
UTX 24A
New York Stock Exchange
(CUSIP 913017 CU1)
   
1.875% Notes due 2026
UTX 26
New York Stock Exchange
(CUSIP 913017 CE7)
   
2.150% Notes due 2030
UTX 30
New York Stock Exchange
(CUSIP 913017 CV9)
   
Floating Rate Notes due 2019
UTX 19C
New York Stock Exchange
(CUSIP 913017 CS6)
   
Floating Rate Notes due 2020
UTX 20B
New York Stock Exchange
(CUSIP 913017 CT4)
   



Item 5.02.  Departure of Directors or Certain Officers; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.

On October 22, 2019,  United Technologies Corporation (“UTC”) announced that Akhil Johri will step down from his role as Chief Financial Officer effective November 1, 2019, and will retire from UTC as of April 1, 2020 or upon the closing of the merger (the “Merger”) under the Agreement and Plan of Merger, dated as of June 9, 2019, by and among UTC, Light Merger Sub Corp., and Raytheon Company, whichever is later.  Neil Mitchill will serve as acting Chief Financial Officer of UTC from November 1, 2019 until the closing of the Merger.  In connection with Mr. Mitchill’s role as acting Chief Financial Officer, his base salary will be increased to $650,000.

Mr. Mitchill, age 44, joined UTC in 2014 as Vice President, Global Financial Services.  In 2015, he was appointed Corporate Vice President, Controller, and in 2016 was named  Vice President & Chief Financial Officer, Pratt & Whitney.  As CFO of Pratt & Whitney, Mr. Mitchill was responsible for leading Pratt & Whitney’s Finance function and helped support Pratt & Whitney’s commercial, military and global businesses during a period of significant growth.  Prior to joining UTC, Mr. Mitchill was a partner at PricewaterhouseCoopers, LLP, where he was the Hartford Products & Services Assurance Leader, providing assurance and business advisory services for global, industrial products companies.  He has over 20 years of finance experience, which includes strong technical accounting skills and experience on complex business transactions, SEC and regulatory matters, as well as acquisitions and divestitures.  Mr. Mitchill holds a Bachelor of Science degree in Accountancy from Providence College.

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.


UNITED TECHNOLOGIES CORPORATION
(Registrant)
     
Date: October 22, 2019
By:
/s/ Peter J. Graber-Lipperman
   
Peter J. Graber-Lipperman
   
Corporate Vice President, Secretary and Associate General Counsel


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Document and Entity Information
Oct. 18, 2019
Entity Listings [Line Items]  
Document Type 8-K
Amendment Flag false
Document Period End Date Oct. 18, 2019
Entity Registrant Name UNITED TECHNOLOGIES CORPORATION
Entity Incorporation, State or Country Code DE
Entity File Number 001-00812
Entity Tax Identification Number 06-0570975
Entity Address, Address Line One 10 Farm Springs Road
Entity Address, City or Town Farmington
Entity Address, State or Province CT
Entity Address, Postal Zip Code 06032
City Area Code 860
Local Phone Number 728-7000
Written Communications false
Soliciting Material false
Pre-commencement Tender Offer false
Pre-commencement Issuer Tender Offer false
Entity Emerging Growth Company false
Entity Central Index Key 0000101829
Common Stock [Member]  
Entity Listings [Line Items]  
Title of 12(b) Security Common Stock ($1 par value)
Trading Symbol UTX
Security Exchange Name NYSE
1.125% Notes due 2021 [Member]  
Entity Listings [Line Items]  
Title of 12(b) Security 1.125% Notes due 2021
Trading Symbol UTX 21D
Security Exchange Name NYSE
1.250% Notes due 2023 [Member]  
Entity Listings [Line Items]  
Title of 12(b) Security 1.250% Notes due 2023
Trading Symbol UTX 23
Security Exchange Name NYSE
1.150% Notes due 2024 [Member]  
Entity Listings [Line Items]  
Title of 12(b) Security 1.150% Notes due 2024
Trading Symbol UTX 24A
Security Exchange Name NYSE
1.875% Notes due 2026 [Member]  
Entity Listings [Line Items]  
Title of 12(b) Security 1.875% Notes due 2026
Trading Symbol UTX 26
Security Exchange Name NYSE
2.150% Notes due 2030 [Member]  
Entity Listings [Line Items]  
Title of 12(b) Security 2.150% Notes due 2030
Trading Symbol UTX 30
Security Exchange Name NYSE
Floating Rate Notes due 2019 [Member]  
Entity Listings [Line Items]  
Title of 12(b) Security Floating Rate Notes due 2019
Trading Symbol UTX 19C
Security Exchange Name NYSE
Floating Rate Notes due 2020 [Member]  
Entity Listings [Line Items]  
Title of 12(b) Security Floating Rate Notes due 2020
Trading Symbol UTX 20B
Security Exchange Name NYSE

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