-----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, NS+0WMpzPJZ9R6NkRvkmXLIg6jMlBJhxBnOvVXiM7dnJDt68lVx9YMkbkLuT0t5H B/FXJEGbFjrmvF5BTt1Kig== 0001017672-97-000002.txt : 19970310 0001017672-97-000002.hdr.sgml : 19970310 ACCESSION NUMBER: 0001017672-97-000002 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19970228 FILED AS OF DATE: 19970307 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: 1934 Act SEC FILE NUMBER: 001-05358 FILM NUMBER: 97552342 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: WALLIN BERGER G CENTRAL INDEX KEY: 0001017672 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 - FEBRUARY 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 Wallin, Berger G. 6376 Willow Springs Drive Morrison,, CO 80465 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 February 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 |2/24/9|M | |40,000 |A |$22.375 | | | | |7 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |2/24/9|S | |30,000 |D |$44.00 | | | | |7 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |3/4/97|S | |8,200 |D |$43.50 |106,347 |D |--- | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ 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|$22.375 |2/24/|M | |40,000 |D |(1) |5/1/9|Common Stock|40,000 |-- | | | | Option (Right to Buy)| |97 | | | | | |7 | | | | | | | w/Tandem Tax Withhold| | | | | | | | | | | | | | | ing Right | | | | | | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Nonqual Stock|$33.0312| | |V| | |(1) |5/1/0|Common Stock|20,000 | |20,000 |D |--- | Option (Right to Buy)|5 | | | | | | |1 | | | | | | | w/Tandem Tax Withhold| | | | | | | | | | | | | | | ing Right | | | | | | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________|
Explanation of Responses: (1)Previous awards to Reporting Person of options to buy Common Stock under the Company's Stock Incentive Plan in transactions exempt under old Rule 16b-3. Options became exercisable on May 1, 1996, in connection with Mr. Wallin's retirement as Executive Vice President for Special Projects. SIGNATURE OF REPORTING PERSON Berger G. Wallin DATE November 4, 1996 -----END PRIVACY-ENHANCED MESSAGE-----