0001225208-16-037155.txt : 20160729 0001225208-16-037155.hdr.sgml : 20160729 20160729170300 ACCESSION NUMBER: 0001225208-16-037155 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160727 FILED AS OF DATE: 20160729 DATE AS OF CHANGE: 20160729 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: 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Gill Charles D CENTRAL INDEX KEY: 0001395028 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00812 FILM NUMBER: 161794790 MAIL ADDRESS: STREET 1: UNITED TECHNOLOGIES CORPORATION STREET 2: 10 FARM SPRINGS ROAD CITY: FARMINGTON STATE: CT ZIP: 06032 4 1 doc4.xml X0306 4 2016-07-27 0000101829 UNITED TECHNOLOGIES CORP /DE/ UTX 0001395028 Gill Charles D 10 FARM SPRINGS ROAD FARMINGTON CT 06032 1 Executive VP & General Counsel Common Stock 2016-07-27 4 M 0 23500.0000 75.2100 A 55278.0000 D Common Stock 2016-07-27 4 S 0 7144.0000 108.0501 D 48134.0000 D Common Stock 2016-07-27 4 D 0 16356.0000 108.0600 D 31778.0000 D Common Stock 7495.0000 I By Savings Plan Trustee Common Stock 1546.0200 I By Spouse's IRA Stock Appreciation Right 75.2100 2016-07-27 4 M 0 23500.0000 0.0000 D 2011-01-02 2018-01-01 Common Stock 23500.0000 20000.0000 D The Stock Appreciation Rights (SARs) were settled in shares in accordance with the terms of the award. For Section 16 reporting purposes, the exercise of SARs for stock is treated as an exempt acquisition of the shares underlying the SARs at the exercise price per share specified in the award of SARs and a simultaneous sale back to the issuer of a number of the underlying shares having a value, based on the market price of the issuer's stock on the date of the exercise, equal to the product of the number of underlying SARs times the exercise price per share. The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices ranged from $108.05 to $108.06 per share. Upon request, the reporting person will provide to the Commission staff, the issuer, or a security holder of the issuer full information regarding the number of shares sold at each separate price. /s/ Charles F. Hildebrand as Attorney-in-Fact 2016-07-29