0001225208-17-002662.txt : 20170208 0001225208-17-002662.hdr.sgml : 20170208 20170208164204 ACCESSION NUMBER: 0001225208-17-002662 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170206 FILED AS OF DATE: 20170208 DATE AS OF CHANGE: 20170208 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: Dumais Michael R CENTRAL INDEX KEY: 0001531769 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00812 FILM NUMBER: 17583090 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 2017-02-06 0000101829 UNITED TECHNOLOGIES CORP /DE/ UTX 0001531769 Dumais Michael R 10 FARM SPRINGS ROAD FARMINGTON CT 06032 1 EVP, Operations & Strategy Common Stock 18948.0000 D Common Stock 1674.0000 I By Savings Plan Trustee Stock Appreciation Right 74.7900 2017-02-06 4 A 0 10092.0000 0.0000 A 2017-02-06 2022-07-31 Common Stock 10092.0000 10092.0000 D On August 1, 2012, the reporting person was granted 100,920 performance stock appreciation rights, 50% of which became exercisable on February 9, 2015 and 50% of which became exercisable on December 31, 2016, in each case subject to and following confirmation of achievement of pre-established business unit earnings, sales and other financial targets. The performance criteria were satisfied at the 20% level for the second 50% of the grant, resulting in the vesting of 10,092 stock appreciation rights and the cancellation of 40,368 stock appreciation rights, both as of February 6, 2017. /s/ Ariel R. David as Attorney-in-Fact 2017-02-08