0001225208-20-002375.txt : 20200214 0001225208-20-002375.hdr.sgml : 20200214 20200214162530 ACCESSION NUMBER: 0001225208-20-002375 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200212 FILED AS OF DATE: 20200214 DATE AS OF CHANGE: 20200214 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Gitlin David L. CENTRAL INDEX KEY: 0001631473 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00812 FILM NUMBER: 20620471 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 4 1 doc4.xml X0306 4 2020-02-12 0000101829 UNITED TECHNOLOGIES CORP /DE/ UTX 0001631473 Gitlin David L. 10 FARM SPRINGS ROAD FARMINGTON CT 06032 1 President & CEO, Carrier Common Stock 2020-02-12 4 M 0 37467.0000 74.7900 A 56084.0000 D Common Stock 2020-02-12 4 M 0 24500.0000 112.4900 A 80584.0000 D Common Stock 2020-02-12 4 M 0 18900.0000 84.0000 A 99484.0000 D Common Stock 2020-02-12 4 M 0 7569.0000 74.7900 A 107053.0000 D Common Stock 2020-02-12 4 D 0 49597.0000 155.4800 D 57456.0000 D Common Stock 2020-02-12 4 S 0 51491.0000 154.1230 D 5965.0000 D Common Stock 2810.0000 I By Savings Plan Trustee Common Stock 12893.0000 I By Spouse's Trust Stock Appreciation Right 84.0000 2020-02-12 4 M 0 18900.0000 0.0000 D 2016-01-02 2023-01-01 Common Stock 18900.0000 0.0000 D Stock Appreciation Right 112.4900 2020-02-12 4 M 0 24500.0000 0.0000 D 2017-01-02 2024-01-01 Common Stock 24500.0000 0.0000 D Stock Appreciation Right 74.7900 2020-02-12 4 M 0 7569.0000 0.0000 D 2017-02-06 2022-07-31 Common Stock 7569.0000 0.0000 D Stock Appreciation Right 74.7900 2020-02-12 4 M 0 37467.0000 0.0000 D 2015-02-09 2022-07-31 Common Stock 37467.0000 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 $153.56 to $155.29 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 2020-02-14