0001225208-19-001378.txt : 20190128
0001225208-19-001378.hdr.sgml : 20190128
20190128165648
ACCESSION NUMBER: 0001225208-19-001378
CONFORMED SUBMISSION TYPE: 4/A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20181126
FILED AS OF DATE: 20190128
DATE AS OF CHANGE: 20190128
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Ortberg Robert Kelly
CENTRAL INDEX KEY: 0001377692
FILING VALUES:
FORM TYPE: 4/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-00812
FILM NUMBER: 19546141
MAIL ADDRESS:
STREET 1: 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/A
1
doc4a.xml
X0306
4/A
2018-11-26
2018-11-28
0000101829
UNITED TECHNOLOGIES CORP /DE/
UTX
0001377692
Ortberg Robert Kelly
10 FARM SPRINGS ROAD
FARMINGTON
CT
06032
1
CEO, Collins Aerospace Systems
Common Stock
2018-11-26
4
F
0
4762.0000
127.9800
D
112635.0000
D
Common Stock
2018-11-26
4
F
0
25837.0000
127.9800
D
86798.0000
D
The original Form 4 (filed on November 28, 2018) overstated the reporting person's holdings as a result of two transactions. First, as reported on the original Form 4, the reporting person disposed of 29,309 shares of Rockwell Collins common stock in connection with the vesting of certain performance shares, which resulted in 10,998 shares of UTC common stock. The original Form 4 should have reflected the tax withholding of 4,762 shares associated with this first transaction. Second, as also reported on the original Form 4, the reporting person disposed of 406,900 outstanding Rockwell Collins stock options, which resulted in 58,945 shares of UTC common stock. The original Form 4 should have reflected the tax withholding of 25,837 shares associated with this second transaction.
The number of shares withheld for taxes was based on the closing price of UTC on November 26, 2018.
The reporting person also held 368 shares of UTC common stock before becoming a Section 16 officer of UTC, of which 54 shares were inadvertently excluded from the reporting person's original Form 3 and the original Form 4, which is the subject of this amendment.
/s/ Ariel R. David as Attorney-in-Fact
2019-01-28