0001225208-18-016518.txt : 20181212 0001225208-18-016518.hdr.sgml : 20181212 20181212163447 ACCESSION NUMBER: 0001225208-18-016518 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181210 FILED AS OF DATE: 20181212 DATE AS OF CHANGE: 20181212 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Ramos Denise L CENTRAL INDEX KEY: 0001403773 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00812 FILM NUMBER: 181231206 MAIL ADDRESS: STREET 1: ITT CORPORATION STREET 2: 1133 WESTCHESTER AVENUE CITY: WHITE PLAINS STATE: NY ZIP: 10604 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 2018-12-10 0000101829 UNITED TECHNOLOGIES CORP /DE/ UTX 0001403773 Ramos Denise L 10 FARM SPRINGS ROAD FARMINGTON CT 06032 1 Phantom Stock Unit 2018-12-10 4 A 0 1381.7938 119.4100 A Common Stock 1381.7938 1381.7938 D Restricted Stock Units 2018-12-10 4 A 0 837.4508 119.4100 A Common Stock 837.4508 837.4508 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 2017 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 2017 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 2018-12-12