0001225208-17-016940.txt : 20171103 0001225208-17-016940.hdr.sgml : 20171103 20171103163244 ACCESSION NUMBER: 0001225208-17-016940 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171101 FILED AS OF DATE: 20171103 DATE AS OF CHANGE: 20171103 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: O'Sullivan Margaret L. CENTRAL INDEX KEY: 0001721120 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00812 FILM NUMBER: 171176866 MAIL ADDRESS: STREET 1: UNITED TECHNOLOGIES CORPORATION STREET 2: 10 FARM SPRINGS ROAD CITY: FARMINGTON STATE: CT ZIP: 06032 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 4 1 doc4.xml X0306 4 2017-11-01 0000101829 UNITED TECHNOLOGIES CORP /DE/ UTX 0001721120 O'Sullivan Margaret L. 10 FARM SPRINGS ROAD FARMINGTON CT 06032 1 Phantom Stock Unit 2017-11-01 4 A 0 1373.6264 120.1200 A Common Stock 1373.6264 1373.6264 D Restricted Stock Units 2017-11-01 4 A 0 832.5008 120.1200 A Common Stock 832.5008 832.5008 D Phantom Stock Units acquired by the reporting person in connection with her annual retainer for a partial year of service as a non-employee director under the Board of Directors Deferred Stock Unit Plan, Exhibit 10.9 of UTC's 2016 Form 10-K. The plan provides for the payment of all or a portion of the retainer in deferred stock units. Upon retirement or termination of service on the Board, all such stock units, including accumulated dividend equivalents, are converted to UTC common stock and paid out as a lump sum or in installments, at the election of the director. A one-time grant of Restricted Stock Units awarded on the date of election to the Board of Directors pursuant to the Board of Directors Deferred Stock Unit Plan, Exhibit 10.9 of UTC's 2016 Form 10-K. Vesting occurs over a five-year period at 20 percent per year. Upon retirement or termination of service on the Board, all such stock units, including accumulated dividend equivalents, are converted to UTC common stock. /s/ Ariel R. David as Attorney-in-Fact 2017-11-03