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