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