0001225208-19-014196.txt : 20191106 0001225208-19-014196.hdr.sgml : 20191106 20191106162551 ACCESSION NUMBER: 0001225208-19-014196 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: LEDUC ROBERT F CENTRAL INDEX KEY: 0001184190 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00812 FILM NUMBER: 191196687 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 2019-11-04 0000101829 UNITED TECHNOLOGIES CORP /DE/ UTX 0001184190 LEDUC ROBERT F 10 FARM SPRINGS ROAD FARMINGTON CT 06032 1 President, Pratt & Whitney Common Stock 2019-11-04 4 M 0 25500.0000 74.6600 A 96270.0000 D Common Stock 2019-11-04 4 M 0 23000.0000 84.0000 A 119270.0000 D Common Stock 2019-11-04 4 S 0 9846.0000 146.8542 D 109424.0000 D Common Stock 2019-11-04 4 S 0 10767.0000 147.0778 D 98657.0000 D Common Stock 2019-11-04 4 S 0 12562.0000 147.0782 D 86095.0000 D Common Stock 2019-11-04 4 D 0 12938.0000 147.1400 D 73157.0000 D Common Stock 2019-11-04 4 D 0 13154.0000 146.8700 D 60003.0000 D Common Stock 4480.0000 I By Savings Plan Trustee Stock Appreciation Right 84.0000 2019-11-04 4 M 0 23000.0000 0.0000 D 2016-01-02 2023-01-01 Common Stock 23000.0000 0.0000 D Stock Appreciation Right 74.6600 2019-11-04 4 M 0 25500.0000 0.0000 D 2015-01-03 2022-01-02 Common Stock 25500.0000 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 $146.8200 to $146.9200 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. The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $147.0600 to $147.1200 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. The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $147.0700 to $147.1200 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