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