0001225208-18-016011.txt : 20181130 0001225208-18-016011.hdr.sgml : 20181130 20181130161655 ACCESSION NUMBER: 0001225208-18-016011 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181128 FILED AS OF DATE: 20181130 DATE AS OF CHANGE: 20181130 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Kullman Ellen Jamison CENTRAL INDEX KEY: 0001303141 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00812 FILM NUMBER: 181211403 MAIL ADDRESS: STREET 1: UNITED TECHNOLOGIES CORP 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 2018-11-28 0000101829 UNITED TECHNOLOGIES CORP /DE/ UTX 0001303141 Kullman Ellen Jamison 10 FARM SPRINGS ROAD FARMINGTON CT 06032 1 Common Stock 2018-11-28 4 A 0 6.0000 0.0000 A 6.0000 I By Spouse's Trust In connection with UTC's acquisition of Rockwell Collins, Inc. (Rockwell Collins), effective on November 26, 2018, and pursuant to terms and conditions of the Agreement and Plan of Merger, dated as of September 4, 2017 (the Merger Agreement), by and between UTC, Riveter Merger Sub Corp., a wholly owned subsidiary of UTC, and Rockwell Collins, each share of Rockwell Collins common stock was converted into the right to receive (i) $93.33 in cash, without interest and (ii) 0.37525 of a share of UTC common stock and cash in lieu of fractional shares (together, the Merger Consideration) less any applicable withholding taxes. The Trust (discussed in footnote 2, below) held 18 shares of Rockwell Collins common stock, which, exchanged for Merger Consideration, resulted in the receipt of 6 shares of UTC common stock. These shares are held in a trust for the benefit of the reporting person's spouse who is also the trust's sole trustee. /s/ Ariel R. David as Attorney-in-Fact 2018-11-30