0001225208-16-039571.txt : 20160921 0001225208-16-039571.hdr.sgml : 20160921 20160921170336 ACCESSION NUMBER: 0001225208-16-039571 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160914 FILED AS OF DATE: 20160921 DATE AS OF CHANGE: 20160921 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: Bailey Robert J. CENTRAL INDEX KEY: 0001685251 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00812 FILM NUMBER: 161896151 MAIL ADDRESS: STREET 1: 10 FARM SPRINGS ROAD CITY: FARMINGTON STATE: CT ZIP: 06032 3 1 doc3.xml X0206 3 2016-09-14 0 0000101829 UNITED TECHNOLOGIES CORP /DE/ UTX 0001685251 Bailey Robert J. 10 FARM SPRINGS ROAD FARMINGTON CT 06032 1 Corporate VP, Controller Common Stock 4031.7400 I By Savings Plan Trustee Restricted Stock Units RSU 2019-01-04 2026-01-03 Common Stock 1215.0000 D SRP Stock Unit Common Stock 640.6633 D Stock Appreciation Right 54.9500 2012-01-02 2019-01-01 Common Stock 9000.0000 D Stock Appreciation Right 71.6300 2013-01-04 2020-01-03 Common Stock 7600.0000 D Stock Appreciation Right 74.6600 2015-01-03 2022-01-02 Common Stock 10800.0000 D Stock Appreciation Right 78.9900 2014-01-03 2021-01-02 Common Stock 8900.0000 D Stock Appreciation Right 84.0000 2016-01-02 2023-01-01 Common Stock 12000.0000 D Stock Appreciation Right 95.5700 2019-01-04 2026-01-03 Common Stock 15200.0000 D Stock Appreciation Right 112.4900 2017-01-02 2024-01-01 Common Stock 8700.0000 D Stock Appreciation Right 115.0400 2018-01-02 2025-01-01 Common Stock 9900.0000 D Restricted stock units (RSUs) convert into UTC common stock on a one-for-one basis. Each Savings Restoration Plan ("SRP") stock unit is the economic equivalent of one share of UTC common stock. The reported SRP stock units were acquired under UTC's Savings Restoration Plan, an excess benefit plan, and are to be settled upon the reporting person's retirement or other termination of service. The reporting person was also awarded 1,820 performance share units (PSUs) under the UTC Long-Term Incentive Plan. Each PSU has a value equal to one share of UTC common stock. These PSUs vest solely upon achievement of pre-established performance targets for UTC's return on invested capital, earnings per share growth and total shareholder return relative to the S&P 500 index over a three-year period. The reporting person was also awarded 2,270 performance share units (PSUs) under the UTC Long-Term Incentive Plan. Each PSU has a value equal to one share of UTC common stock. These PSUs vest solely upon achievement of pre-established performance targets for UTC's earnings per share and total shareholder return over a three-year time period. The reporting person was also awarded 2,350 performance share units (PSUs) under the UTC Long-Term Incentive Plan. Each PSU has a value equal to one share of UTC common stock. These PSUs vest solely upon achievement of pre-established performance targets for UTC's earnings per share and total shareholder return over a three-year time period. /s/ Ariel R. David as Attorney-in-Fact 2016-09-21