0001225208-19-010049.txt : 20190703
0001225208-19-010049.hdr.sgml : 20190703
20190703162813
ACCESSION NUMBER: 0001225208-19-010049
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20190625
FILED AS OF DATE: 20190703
DATE AS OF CHANGE: 20190703
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Calio Christopher T.
CENTRAL INDEX KEY: 0001781357
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-00812
FILM NUMBER: 19942202
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
3
1
doc3.xml
X0206
3
2019-06-25
0
0000101829
UNITED TECHNOLOGIES CORP /DE/
UTX
0001781357
Calio Christopher T.
10 FARM SPRINGS ROAD
FARMINGTON
CT
06032
1
Pres, Comm Engines, P&W
Common Stock
3401.0000
D
Common Stock
1712.0000
I
By Savings Plan Trustee
Restricted Stock Units
Common Stock
9559.0000
D
Restricted Stock Units RSU
2021-01-02
Common Stock
2275.0000
D
Restricted Stock Units RSU
2020-01-03
Common Stock
1482.0000
D
Restricted Stock Units RSU
2022-02-05
Common Stock
16757.0000
D
SRP Stock Unit
Common Stock
296.0384
D
Stock Appreciation Right
74.6600
2015-01-03
2022-01-02
Common Stock
5800.0000
D
Stock Appreciation Right
84.0000
2016-01-02
2023-01-01
Common Stock
5900.0000
D
Stock Appreciation Right
95.5700
2019-01-04
2026-01-03
Common Stock
13200.0000
D
Stock Appreciation Right
110.8300
2020-01-03
2027-01-02
Common Stock
10500.0000
D
Stock Appreciation Right
112.4900
2017-01-02
2024-01-01
Common Stock
4700.0000
D
Stock Appreciation Right
115.0400
2018-01-02
2025-01-01
Common Stock
5600.0000
D
Stock Appreciation Right
120.7700
2022-02-05
2029-02-04
Common Stock
32500.0000
D
Stock Appreciation Right
128.1600
2021-01-02
2028-01-01
Common Stock
18500.0000
D
These Restricted Stock Units (RSU) were awarded in connection with the reporting person's membership in UTC's Executive Leadership Group (ELG). Following three years of ELG service, each RSU, including accumulated dividend equivalents, represents a right to receive one share of UTC Common Stock upon a Qualifying Separation from UTC (as defined in Exhibit 10.6 of UTC's 2018 Form 10-K).
Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of UTC Common Stock.
Each Savings Restoration Plan ("SRP") stock unit is the economic equivalent of one share of UTC common stock. The reported SRP stock units were acquired under UTC's Savings Restoration Plan, an excess benefit plan, and are to be settled upon the reporting person's retirement or other termination of service.
In January 2017, the reporting person was also awarded 3,500 performance share units (PSUs) under the UTC Long-Term Incentive Plan. Each PSU has a value equal to one share of UTC Common Stock. These PSUs vest solely upon achievement of pre-established performance targets for UTC's return on invested capital, earnings per share growth and total shareholder return relative to the S&P 500 index over a three-year time period.
In February 2019, the reporting person was also awarded 5,800 performance share units (PSUs) under the UTC Long-Term Incentive Plan. Each PSU has a value equal to one share of UTC Common Stock. These PSUs vest solely upon achievement of pre-established performance targets for UTC's return on invested capital, earnings per share growth and total shareholder return relative to the S&P 500 index over a three-year time period.
In January 2018, the reporting person was also awarded 5,500 performance share units (PSUs) under the UTC Long-Term Incentive Plan. Each PSU has a value equal to one share of UTC Common Stock. These PSUs vest solely upon achievement of pre-established performance targets for UTC's return on invested capital, earnings per share growth and total shareholder return relative to the S&P 500 index over a three-year time period.
calio.txt
/s/ Ariel R. David as Attorney-in-Fact
2019-07-03
EX-24
2
calio.txt
POWER OF ATTORNEY
Know all by these presents that the undersigned hereby constitutes and appoints
each of Charles D. Gill, Peter J. Graber-Lipperman and Ariel R. David, signing
individually, as the undersigned's true and lawful attorney-in-fact to:
(1) execute, for and on behalf of the undersigned, Forms 3, 4, and 5 (and any
replacement form or successor to such forms, as may be established by the U.S.
Securities and Exchange Commission from time to time) in accordance with Section
16(a) of the Securities Exchange Act of 1934, as amended from time to time and
the rules thereunder;
(2) execute, for and on behalf of the undersigned, any Form 144 (and any
replacement form or successor to such form, as may be established by the U.S.
Securities and Exchange Commission from time to time) required to be filed on
behalf of the undersigned in accordance with Rule 144 of the U.S. Securities and
Exchange Commission, as amended from time to time;
(3) do and perform any and all acts for and on behalf of the undersigned which
may be necessary or desirable to complete and execute any of the documents
referred to in items (1) and (2) above and timely file the same with the U.S.
Securities and Exchange Commission and any stock exchange or similar authority;
and
(4) take any action of any type whatsoever in connection with the foregoing
(including but not limited to the execution of any written representations
required on behalf of the undersigned to confirm compliance with Rule 144)
which, in the opinion of such attorney-in-fact, may be of benefit to, in the
best interest of, or legally required by, the undersigned, it being understood
that the documents executed by such attorney-in-fact on behalf of the
undersigned pursuant to this Power of Attorney shall be in such form and shall
contain such terms and conditions as such attorney-in-fact may approve in such
attorney-in-fact's discretion.
The undersigned hereby grants to each such attorney-in-fact full power and
authority to do and perform any and every act and thing whatsoever requisite,
necessary, or proper to be done in the exercise of any of the rights and powers
herein granted, as fully to all intents and purposes as the undersigned might or
could do if personally present, with full power of substitution or revocation,
hereby ratifying and confirming all that such attorney-in-fact, or such
attorney-in-fact's substitute or substitutes, shall lawfully do or cause to be
done by virtue of this power of attorney and the rights and powers herein
granted. The undersigned acknowledges that the foregoing attorneys-in-fact, in
serving in such capacity at the request of the undersigned, are not assuming,
nor is United Technologies Corporation (the "Company") assuming, any of the
undersigned's responsibilities to comply with Section 16 of the Securities
Exchange Act of 1934, Rule 144 of the U.S. Securities and Exchange Commission or
any other provision of the securities laws.
This Power of Attorney shall remain in full force and effect until the
undersigned is no longer required to file any of the documents referred to above
with respect to the undersigned's holdings of and transactions in securities
issued by the Company, unless earlier revoked by the undersigned in a signed
writing delivered to the foregoing attorneys-in-fact.
IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be
executed as of this 25th day of June, 2019.
/s/Christopher T. Calio
Christopher T. Calio