-----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, Qc2XQn1DOs4Tfyk/QM2Z+TAGhaOzRROnNEg14RzWIwvO6D+pm0y6tF9VXOT/6FH8 F/WkyyLgAV4VvDx9zPusLA== 0001017674-97-000008.txt : 19971204 0001017674-97-000008.hdr.sgml : 19971204 ACCESSION NUMBER: 0001017674-97-000008 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19971114 FILED AS OF DATE: 19971203 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: 97731862 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: DONOVAN PAUL CENTRAL INDEX KEY: 0001017674 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER 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 Donovan, Paul 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) ( ) Director ( ) 10% Owner (X) Officer (give title below) ( ) Other (specify below) Executive Vice President and Chief Financial 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 |11/14/|J(1)|V|5,289.21 |A |$51.50 |5,289.21 |I |401(k) Plan | |97 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | |55,200 |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 Nonqualified | | | | | | |(2) | |Common Stock| | |70,314(2) |D |--- | Stock Option (Right to| | | | | | | | | | | | | | | Buy)w/Tandem Withhold| | | | | | | | | | | | | | | ing Right | | | | | | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________|
Explanation of Responses: (1)Intraplan transfer resulting in the acquisition of issuer securities in the Sundstrand Corporation Employee Savings Plan in a transaction exempt under old Rule 16a-8(g)(3). (2)Of the 70,314 stock options held by the Reporting Person, 5,314 became exercisable on December 1, 1997, all with an exercise price of $19.3125; 5,000 became exericsable on November 15, 1997, and 5,000 will become exercisable on each November 15, 1998, and November 15, 1999, all with an exercise price of $22.375; 5,000 will become exercisable on each November 19, 1998, November 19, 1999, November 19, 2000, and November 19, 2001, all with an exercise price of $38.9375; and 7,500 will become exercisable on each November 18, 1999, November 18, 2000, November 18, 2001, and November 18, 2002, all with an exercise price of $51.3125. 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 Paul Donovan -----END PRIVACY-ENHANCED MESSAGE-----