0001225208-19-014195.txt : 20191106 0001225208-19-014195.hdr.sgml : 20191106 20191106162547 ACCESSION NUMBER: 0001225208-19-014195 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191104 FILED AS OF DATE: 20191106 DATE AS OF CHANGE: 20191106 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HAYES GREGORY CENTRAL INDEX KEY: 0001225946 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00812 FILM NUMBER: 191196684 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 1 doc4.xml X0306 4 2019-11-04 0000101829 UNITED TECHNOLOGIES CORP /DE/ UTX 0001225946 HAYES GREGORY 10 FARM SPRINGS ROAD FARMINGTON CT 06032 1 1 Chairman, President and CEO Common Stock 2019-11-04 4 M 0 122000.0000 74.6600 A 287649.0000 D Common Stock 2019-11-04 4 S 0 27987.0000 147.7892 D 259662.0000 D Common Stock 2019-11-04 4 D 0 61631.0000 147.7900 D 198031.0000 D Common Stock 164.0000 I By Children's Trust Accounts Common Stock 5257.0000 I By Savings Plan Trustee Common Stock 874.0000 I By Spouse Common Stock 1320.0000 I By Spouse's Savings Plan Account Stock Appreciation Right 74.6600 2019-11-04 4 M 0 122000.0000 0.0000 D 2015-01-03 2022-01-02 Common Stock 122000.0000 0.0000 D The Stock Appreciation Rights (SARs) were settled in shares in accordance with terms of the award. For Section 16 reporting purposes, the exercise of SARs for stock is treated as an exempt acquisition of the shares underlying the SARs at the exercise price per share specified in the award of SARs and a simultaneous sale back to the issuer of a number of the underlying shares having a value, based on the market price of the issuer's stock on the date of the exercise, equal to the product of the number of underlying SARs times the exercise price per share. The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $147.7400 to $147.9000 per share. The reporting person has provided to the issuer, and undertakes to provide to the Commission staff or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price within the range. /s/ Ariel R. David as Attorney-in-Fact 2019-11-06