-----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, BR97jnImnIk5bNI98u0qPRSFWk1IL4lG7BqcbB8O+xQdnwgjNBA/6r7n1TjT2WiB BVG4YIpFBlHs4bbmkOaj/g== 0001017662-97-000002.txt : 19971124 0001017662-97-000002.hdr.sgml : 19971124 ACCESSION NUMBER: 0001017662-97-000002 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19971118 FILED AS OF DATE: 19971121 SROS: CSX 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: 97725685 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: JENKINS ROBERT H CENTRAL INDEX KEY: 0001017662 STANDARD INDUSTRIAL CLASSIFICATION: [] DIRECTOR FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: C/O SUNDSTRAND CORP STREET 2: 4949 HARRISON AVENUE CITY: ROCKFORD STATE: IL ZIP: 61125-7003 BUSINESS PHONE: 8152266000 MAIL ADDRESS: STREET 1: PO BOX 7003 CITY: ROCKFORD STATE: IL ZIP: 61125-7003 4 1 FORM 4 - NOVEMBER 1997 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP ( ) 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 Jenkins, Robert H. Sundstrand Corporation 4949 Harrison Avenue P.O. Box 7003 Rockford,, IL 61125-7003 U.S.A. 2. Issuer Name and Ticker or Trading Symbol Sundstrand Corporation SNS 3. IRS or Social Security Number of Reporting Person (Voluntary) ###-##-#### 4. Statement for Month/Year November 1997 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) (X) Director ( ) 10% Owner (X) Officer (give title below) ( ) Other (specify below) President and Chief Executive Officer 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 |01/10/|J(1)|V|26.471 |A |$46.75 | |I |401(k) Plan Trust | |97 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |01/24/|J(1)|V|28.613 |A |$43.25 | |I |401(k) Plan Trust | |97 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |02/07/|J(1)|V|29.155 |A |$42.875 | |I |401(k) Plan Trust | |97 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |02/18/|J(1)|V|41.127 |A |$44.375 | |I |401(k) Plan Trust | |97 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |02/25/|J(1)|V|10.146 |A |$43.25 | |I |401(k) Plan Trust | |97 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |03/21/|J(1)|V|12.061 |A |$45.875 | |I |401(k) Plan Trust | |97 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |03/31/|J(2)|V|5.754 |A |$43.375 | |I |401(k) Plan Trust | |97 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |04/04/|J(1)|V|2.626 |A |$43.875 | |I |401(k) Plan Trust | |97 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |04/18/|J(1)|V|.480 |A |$46.875 | |I |401(k) Plan Trust | |97 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |06/26/|J(3)|V|10.806 |A |$56.00 | |I |401(k) Plan Trust | |97 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |06/30/|J(2)|V|4.512 |A |$54.00 | |I |401(k) Plan Trust | |97 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |08/29/|J(2)|V|4.168 |A |$59.00 |1456.097 |I |401(k) Plan Trust | |97 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |11/18/|J(4)|V|15,000 |A |$.00 |91,000 |D |--- | |97 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ 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)| | ___________________________________________________________________________________________________________________________________| Employee Nonqualified |$51.3125|11/18|A(5)|V|50,000 |A |(5) |11/18|Common Stock|50,000 | |180,000 |D |---- | Stock Option (Right to| |/97 | | | | | |/07 | | | | | | | Buy)w/Tandem Withhold| | | | | | | | | | | | | | | ing Right | | | | | | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________|
Explanation of Responses: (1)Employee contribution resulting in an acquisition of issuer securities in Sundstrand's 401(k) Plan in a transaction exempt under old Rule 16a-8(g)(3). (2)Allocated to the Reporting Person's account pursuant to an automatic dividend reinvestment feature of the Sundstrand Corporation Employee Savings Plan-Sundstrand Stock Fund. (3)Employee rollover contribution resulting in an acquisition of issuer securities in Sundstrand's 401(k) Plan in a transaction exempt under old Rule 16a-8(g)(3). (4)Award of restricted Common Stock under the Company's Stock Incentive Plan in transaction exempt under Rule 16b-3(d). (5) Grant to Reporting Person of option to buy Common Stock under the Company's Stock Incentive Plan in transaction exempt under Rule 16b-3(d). Options become exercisable at a rate of 25% of each grant on the second through fifth anniversary dates of November 18, 1997. The tax withholding right permits a participant to elect, subject to the approval of the Compensation Committee, to satisfy the withholding requirement, in whole or in part, by having the Company withhold shares equal to the tax. Of the remaining 130,000 stock options held by the Reporting Person, 22,500 first became exercisable on October 1, 1997, and 22,500 will become exercisable on each of October 1, 1998, October 1, 1999, and October 1, 2000, all with an exercise price of $32.2344; and 10,000 stock options will become exercisable on each of November 19, 1998, November 19, 1999, November 19, 2000, and November 19, 2001, all with an exercise price of $38.9375. All of the nonexercisable stock options, in the event of a "Change in Control" as defined in the Plan under which they were granted, may become immediately exercisable unless specifically prohibited by the terms of applicable law. SIGNATURE OF REPORTING PERSON Robert H. Jenkins -----END PRIVACY-ENHANCED MESSAGE-----