0001225208-13-020217.txt : 20130918 0001225208-13-020217.hdr.sgml : 20130918 20130918172505 ACCESSION NUMBER: 0001225208-13-020217 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130916 FILED AS OF DATE: 20130918 DATE AS OF CHANGE: 20130918 ISSUER: 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 BUSINESS ADDRESS: STREET 1: UNITED TECHNOLOGIES BLDG STREET 2: ONE FINANCIAL PLZ CITY: HARTFORD STATE: CT ZIP: 06101 BUSINESS PHONE: 8607287000 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HAYES GREGORY CENTRAL INDEX KEY: 0001225946 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00812 FILM NUMBER: 131104189 4 1 doc4.xml X0306 4 2013-09-16 0000101829 UNITED TECHNOLOGIES CORP /DE/ UTX 0001225946 HAYES GREGORY ONE FINANCIAL PLAZA HARTFORD CT 06101 1 SVP and CFO Common Stock 2013-09-16 4 M 0 50000.0000 57.8400 A 110419.0000 D Common Stock 2013-09-16 4 M 0 46500.0000 56.5300 A 156919.0000 D Common Stock 2013-09-16 4 M 0 30000.0000 51.5000 A 186919.0000 D Common Stock 2013-09-16 4 S 0 22530.0000 109.6501 D 164389.0000 D Common Stock 2013-09-16 4 S 0 23599.0000 109.4955 D 140790.0000 D Common Stock 2013-09-16 4 F 0 23970.0000 109.6501 D 116820.0000 D Common Stock 2013-09-16 4 F 0 26401.0000 109.4955 D 90419.0000 D Common Stock 2013-09-16 4 S 0 30000.0000 109.6000 D 60419.0000 D Common Stock 2013-09-16 4 M 0 140500.0000 54.9500 A 140500.0000 I By Trust Common Stock 2013-09-16 4 S 0 69904.0000 109.5212 D 70596.0000 I By Trust Common Stock 2013-09-16 4 F 0 70596.0000 109.5212 D 0.0000 I By Trust Common Stock 4351.0000 I By Savings Plan Trustee Common Stock 874.0000 I By Spouse Common Stock 1159.0000 I By Spouse's Savings Plan Account Non-Qualified Stock Option (right to buy) 51.5000 2013-09-16 4 M 0 30000.0000 0.0000 D 2008-01-03 2015-01-02 Common Stock 30000.0000 46000.0000 D Stock Appreciation Right 56.5300 2013-09-16 4 M 0 46500.0000 0.0000 D 2009-01-03 2016-01-02 Common Stock 46500.0000 0.0000 D Stock Appreciation Right 57.8400 2013-09-16 4 M 0 50000.0000 0.0000 D 2009-03-08 2016-03-07 Common Stock 50000.0000 0.0000 D Stock Appreciation Right 54.9500 2013-09-16 4 M 0 140500.0000 0.0000 D 2012-01-02 2019-01-01 Common Stock 140500.0000 0.0000 I By Trust The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $109.64 to $109.70. Upon request, UTC will provide full information as to the shares sold at each separate price. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $109.48 to $109.57. Upon request, UTC will provide full information as to the shares sold at each separate price. These Stock Appreciation Rights were exercised and shares sold pursuant to an irrevocable trust agreement. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $109.385 to $109.65. Upon request, UTC will provide full information as to the shares sold at each separate price. /s/ Charles F. Hildebrand as Attorney-in-Fact 2013-09-18