0001225208-19-014197.txt : 20191106
0001225208-19-014197.hdr.sgml : 20191106
20191106162656
ACCESSION NUMBER: 0001225208-19-014197
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20191101
FILED AS OF DATE: 20191106
DATE AS OF CHANGE: 20191106
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Mitchill Neil G. JR
CENTRAL INDEX KEY: 0001633746
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-00812
FILM NUMBER: 191196706
MAIL ADDRESS:
STREET 1: UNITED TECHNOLOGIES CORPORATION
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
3
1
doc3.xml
X0206
3
2019-11-01
0
0000101829
UNITED TECHNOLOGIES CORP /DE/
UTX
0001633746
Mitchill Neil G. JR
10 FARM SPRINGS ROAD
FARMINGTON
CT
06032
1
Acting Chief Financial Officer
Common Stock
4211.0000
D
Common Stock
344.0000
I
By Savings Plan Trustee
Restricted Stock Units
Common Stock
9612.0000
D
Restricted Stock Units RSU
2021-01-02
Common Stock
1455.0000
D
Restricted Stock Units RSU
2020-01-03
Common Stock
1490.0000
D
Restricted Stock Units RSU
2022-02-05
Common Stock
8427.0000
D
SRP Stock Unit
Common Stock
764.2170
D
Stock Appreciation Right
95.5700
2019-01-04
2026-01-03
Common Stock
13200.0000
D
Stock Appreciation Right
109.0400
2016-09-02
2024-09-01
Common Stock
5300.0000
D
Stock Appreciation Right
109.0400
2018-09-02
2024-09-01
Common Stock
5300.0000
D
Stock Appreciation Right
110.8300
2020-01-03
2027-01-02
Common Stock
10500.0000
D
Stock Appreciation Right
115.0400
2018-01-02
2025-01-01
Common Stock
6900.0000
D
Stock Appreciation Right
120.7700
2022-02-05
2029-02-04
Common Stock
27500.0000
D
Stock Appreciation Right
128.1600
2021-01-02
2028-01-01
Common Stock
11500.0000
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 services, 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 5,000 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 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.
/s/ Ariel R. David as Attorney-in-Fact
2019-11-06