-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, E+rpcrezdqm8KJ/VAcy9KcPyuBiSUfUODSouIptWmfrWtQ8bAeyYs/Cq4iG/kJOM m9d5p+nSZvOFSA1tZGBwXQ== 0000095395-99-000005.txt : 19990812 0000095395-99-000005.hdr.sgml : 19990812 ACCESSION NUMBER: 0000095395-99-000005 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19990630 FILED AS OF DATE: 19990811 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SUNDSTRAND CORP /DE/ CENTRAL INDEX KEY: 0000095395 STANDARD INDUSTRIAL CLASSIFICATION: PUMPS & PUMPING EQUIPMENT [3561] IRS NUMBER: 361840610 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 001-05358 FILM NUMBER: 99684141 BUSINESS ADDRESS: STREET 1: 4949 HARRISON AVE STREET 2: P O BOX 7003 CITY: ROCKFORD STATE: IL ZIP: 61125 BUSINESS PHONE: 8152266000 MAIL ADDRESS: STREET 1: PO BOX 7003 CITY: ROCKFORD STATE: IL ZIP: 61125-7003 COMPANY DATA: COMPANY CONFORMED NAME: SUNDSTRAND CORP /DE/ CENTRAL INDEX KEY: 0000095395 STANDARD INDUSTRIAL CLASSIFICATION: PUMPS & PUMPING EQUIPMENT [3561] DIRECTOR IRS NUMBER: 361840610 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 4949 HARRISON AVE STREET 2: P O BOX 7003 CITY: ROCKFORD STATE: IL ZIP: 61125 BUSINESS PHONE: 8152266000 MAIL ADDRESS: STREET 1: PO BOX 7003 CITY: ROCKFORD STATE: IL ZIP: 61125-7003 4 1 FORM 4 - 06/30/99 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP (X) Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instructions 1(b). 1. Name and Address of Reporting Person Murmann, Klaus H Sauer, Inc. Krokamp 35 D24539 Neumunster, Germany 2. Issuer Name and Ticker or Trading Symbol Sundstrand Corporation SNS 3. IRS or Social Security Number of Reporting Person (Voluntary) N/A 4. Statement for Month/Year 06/30/99 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) (X) Director ( ) 10% Owner ( ) Officer (give title below) ( ) Other (specify below) 7. Individual or Joint/Group Filing (Check Applicable Line) (X) Form filed by One Reporting Person ( ) Form filed by More than One Reporting Person
___________________________________________________________________________________________________________________________________ Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1. Title of Security |2. |3. |4.Securities Acquired (A) |5.Amount of |6.Dir |7.Nature of Indirect | | Transaction | or Disposed of (D) | Securities |ect | Beneficial Ownership | | | | | Beneficially |(D)or | | | | | | | A/| | Owned at |Indir | | | Date |Code|V| Amount | D | Price | End of Month |ect(I)| | ___________________________________________________________________________________________________________________________________| Common Stock |06/10/|D(1)|V|25,220 |D |$70.1191 |-0- |D |--- | |99 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |06/10/|D(2)|V|400 |D |$70.1191 |-0- |I |Owned by Spouse | |99 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ Table II -- Derivative Securitites Acquired, Disposed of, or Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1.Title of Derivative |2.Con- |3. |4. |5.Number of De |6.Date Exer|7.Title and Amount |8.Price|9.Number |10.|11.Nature of| Security |version |Transaction | rivative Secu |cisable and| of Underlying |of Deri|of Deriva |Dir|Indirect | |or Exer | | | rities Acqui |Expiration | Securities |vative |tive |ect|Beneficial | |cise | | | red(A) or Dis |Date(Month/| |Secu |Securities |(D)|Ownership | |Price of| | | posed of(D) |Day/Year) | |rity |Benefi |or | | |Deriva- | | | |Date |Expir| | |ficially |Ind| | |tive | | | | A/|Exer-|ation| Title and Number | |Owned at |ire| | |Secu- | | | | | D |cisa-|Date | of Shares | |End of |ct | | |rity |Date |Code|V| Amount | |ble | | | |Month |(I)| | ___________________________________________________________________________________________________________________________________| Nonqualified Stock Opt|(3) |06/10|D(3)|V|10,000 |D |(3) |(3) |Common Stock|10,000 |(3) |-0- |D |--- | ion (Right to Buy) | |/99 | | | | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________|
Explanation of Responses: (1)In connection with the merger with United Technologies Corporation ("UTC") on June 10, 1999, the 25,220 shares of Sundstrand common stock held by the Reporting Person were disposed of for the merger consideration of $70.1191 per share consisting of cash and UTC stock, with 14,072 UTC shares being issued to the Reporting Person. (2)In connection with the merger with UTC, the 400 shares of Sundstrand common stock held by the Reporting Person's spouse were disposed of for the merger consideration of $70.1191 per share consisting of cash and UTC stock. (3)In connection with the merger with UTC, 10,000 Sundstrand stock options held by the Reporting Person were converted to 11,065 UTC options under which the Reporting Person has a right to acquire a combination of cash and UTC stock, with 5,580 UTC shares being acquirable pursuant to such options. Of the 11,065 UTC options held by the Reporting Person following the conversion to UTC options, all of which were exercisable as of June 10, 1999, 2,213 were at an exercise price of $42.62 with an expiration date of August 1, 2004, 2,213 were at an exercise price of $47.77 with an expiration date of April 18, 2005, 2,213 were at an exercise price of $63.96 with an expiration date of April 16, 2006, 2,213 were at an exercise price of $80.87 with an expiration date of April 15, 2007, and 2,213 were at an exercise price of $115.37 with an expiration date of April 21, 2008.
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