-----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, OHMbBn/4uhFCx/JwOYz9kneF5AbjkVH0EGhXh3HiJQ9/CHNxnSr7sHgnfVZJwmF7 r7Or79/VgGowSNj1OgW2Yg== 0001017663-97-000002.txt : 19971210 0001017663-97-000002.hdr.sgml : 19971210 ACCESSION NUMBER: 0001017663-97-000002 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19971130 FILED AS OF DATE: 19971209 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: 97734509 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: MARSHALL CHARLES CENTRAL INDEX KEY: 0001017663 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 Marshall, Charles Grosvenor PH-B 6001 Pelican Bay Boulevard Naples,, FL 34108 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 ( ) 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 |09/16/|J(1)|V|23.0265 |A |$59.0625 | | | | |97 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |09/16/|J(1)|V|8.8997 |A |$59.0625 | | | | |97 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |11/25/|M | |1,000 |A |$23.78125 | | | | |97 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |11/25/|M | |500 |A |$26.65625 |12,623.9622 |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 Nonqual Stock|$23.781.|11/25|M | |1,000 |D |(2) |08/01|Common Stock|1,000 |--- | | | | Option (Right to Buy)|25 |/97 | | | | | |/04 | | | | | | | w/Tandem Tax Withholdi| | | | | | | | | | | | | | | ng Right | | | | | | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Nonqual Stock|$26.6562|11/25|M | |500 |D |(2) |04/18|Common Stock|500 | --- |6,500(2) |D |--- | Option (Right to Buy)|5 |/97 | | | | | |/05 | | | | | | | w/Tandem Tax Withholdi| | | | | | | | | | | | | | | ng Right | | | | | | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________|
Explanation of Responses: (1)Acquired by Reporting Person pursuant to dividend reinvestment under Sundstrand Corporation's Dividend Reinvestment Plan. (2)Previous awards to Reporting Person of options to buy Common Stock under the Company's Nonemployee Director Stock Option Plan in transaction exempt under Rule 16b-3d. Of the 6,500 stock options held by the Reporting Person, 500 will become exercisable on each of August 1, 1998, and August 1, 1999, all with an exercise price of $23.78125; 500 will become exercisable on each of April 18, 1998, April 18, 1999, and April 18, 2000, all with an exercise price of $26.65625; 500 will become exercisable on each of April 16, 1998, April 16, 1999, April 16, 2000, and April 16, 2001, all with an exercise price of $35.6875; and 500 will become exercisable on each of April 15, 1999, April 15, 2000, April 15, 2001, and April 15, 2002, all with an exercise price of $45.125. All of the nonexercisable stock options, in the event of a "Change in Control" as defined in the Plan, may become immediately exercisable unless specifically prohibited by the terms of applicable law. SIGNATURE OF REPORTING PERSON Charles Marshall -----END PRIVACY-ENHANCED MESSAGE-----