0001225208-16-042967.txt : 20161209
0001225208-16-042967.hdr.sgml : 20161209
20161209170253
ACCESSION NUMBER: 0001225208-16-042967
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20161207
FILED AS OF DATE: 20161209
DATE AS OF CHANGE: 20161209
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: 162044677
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
2016-12-07
0000101829
UNITED TECHNOLOGIES CORP /DE/
UTX
0001395028
Gill Charles D
10 FARM SPRINGS ROAD
FARMINGTON
CT
06032
1
Executive VP & General Counsel
Common Stock
2016-12-07
4
M
0
45000.0000
70.8100
A
76778.0000
D
Common Stock
2016-12-07
4
S
0
15796.0000
108.9779
D
60982.0000
D
Common Stock
2016-12-07
4
D
0
29204.0000
109.1100
D
31778.0000
D
Common Stock
7580.0000
I
By Savings Plan Trustee
Common Stock
1546.0200
I
By Spouse's IRA
Stock Appreciation Right
70.8100
2016-12-07
4
M
0
45000.0000
0.0000
D
2018-04-08
Common Stock
45000.0000
45000.0000
D
The Stock Appreciation Rights (SARs) were settled in shares in accordance with 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 $108.950 to $109.092 per share. The reporting person has provided to the issuer, and undertakes to provide to the Commission staff or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price within the range.
50% of the stock appreciation rights became exercisable on April 9, 2011 and the remaining 50% became exercisable on April 9, 2012.
gill.txt
/s/ Ariel R. David as Attorney-in-Fact
2016-12-09
EX-24
2
gill.txt
POWER OF ATTORNEY
Know all by these presents, that the undersigned hereby
constitutes and appoints each of Peter J. Graber-Lipperman
and Ariel R. David, signing individually, as the
undersigned's true and lawful attorney-in-fact to
(1) execute, for and on behalf of the undersigned, Forms
3, 4, and 5 (and any replacement form or successor to such
forms, as may be established by the U.S. Securities and
Exchange Commission from time to time) in accordance
with Section 16(a) of the Securities Exchange Act of
1934, as amended from time to time and the rules thereunder
(2) execute, for and on behalf of the undersigned, any Form
144 (and any replacement form or successor to such form, as
may be established by the U.S. Securities and Exchange
Commission from time to time) required to be filed on behalf
of the undersigned in accordance with Rule 144 of the U.S.
Securities and Exchange Commission, as amended from time to
time
(3) do and perform any and all acts for and on behalf of the
undersigned which may be necessary or desirable to complete
and execute any of the documents referred to in items (1)
and (2) above and timely file the same with the U.S. Securities
and Exchange Commission and any stock exchange or similar
authority and
(4) take any action of any type whatsoever in connection
with the foregoing (including but not limited to the execution
of any written representations required on behalf of the
undersigned to confirm compliance with Rule 144) which, in the
opinion of such attorney-in-fact, may be of benefit to, in the
best interest of, or legally required by, the undersigned,
it being understood that the documents executed by such
attorney-in-fact on behalf of the undersigned pursuant to this
Power of Attorney shall be in such form and shall contain such
terms and conditions as such attorney-in-fact may approve in
such attorney-in-fact's discretion.
The undersigned hereby grants to each such attorney-in-fact full
power and authority to do and perform any and every act and
thing whatsoever requisite, necessary, or proper to be done in
the exercise of any of the rights and powers herein granted,
as fully to all intents and purposes as the undersigned might
or could do if personally present, with full power of
substitution or revocation, hereby ratifying and confirming
all that such attorney-in-fact, or such attorney-in-fact's
substitute or substitutes, shall lawfully do or cause to be
done by virtue of this power of attorney and the rights
and powers herein granted. The undersigned acknowledges
that the foregoing attorneys-in-fact, in serving in such
capacity at the request of the undersigned, are not assuming,
nor is United Technologies Corporation (the Company) assuming,
any of the undersigned's responsibilities to comply with
Section 16 of the Securities Exchange Act of 1934, Rule 144
of the U.S. Securities and Exchange Commission or any other
provision of the securities laws.
This Power of Attorney shall remain in full force and effect
until the undersigned is no longer required to file any of the
documents referred to above with respect to the undersigned's
holdings of and transactions in securities issued by the Company,
unless earlier revoked by the undersigned in a signed writing
delivered to the foregoing attorneys-in-fact.
IN WITNESS WHEREOF, the undersigned has caused this Power of
Attorney to be executed as of this 1st day of September, 2016.
/s/Charles D. Gill
Charles D. Gill