0001225208-19-014560.txt : 20191115 0001225208-19-014560.hdr.sgml : 20191115 20191115162712 ACCESSION NUMBER: 0001225208-19-014560 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191113 FILED AS OF DATE: 20191115 DATE AS OF CHANGE: 20191115 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Ortberg Robert Kelly CENTRAL INDEX KEY: 0001377692 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00812 FILM NUMBER: 191224847 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 2019-11-13 0000101829 UNITED TECHNOLOGIES CORP /DE/ UTX 0001377692 Ortberg Robert Kelly 10 FARM SPRINGS ROAD FARMINGTON CT 06032 1 CEO, Collins Aerospace Systems Common Stock 2019-11-13 4 M 0 10114.0000 0 A 80325.0000 D Common Stock 2019-11-13 4 F 0 3103.0000 148.3100 D 77222.0000 D Common Stock 6111.0000 I By Savings Plan Trustee Restricted Stock Units RSU 2019-11-13 4 M 0 10114.0000 0.0000 D 2019-11-13 Common Stock 10114.0000 10114.0000 D Each restricted stock unit (RSU) represents a contingent right to receive one share of UTC Common Stock. As previously reported on November 28, 2018, the reporting person held 18,246 Rockwell Collins restricted stock units (RSUs) plus 27,368 FY18-20 Rockwell Collins performance shares that were exchanged for a number of UTC restricted stock units based upon the Equity Award Exchange Ratio set forth in the Merger Agreement between UTC and Rockwell Collins. The 18,246 RSUs resulted in 20,228 UTC RSUs, of which 50 percent vested on Nov 13, 2019 and the remainder vest on November 13, 2020. /s/ Ariel R. David as Attorney-in-Fact 2019-11-15