-----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, HFAZisC2G8oxMdsgYNV2mhNL7p3CpVqLiB84KruYkeoJBF1cJwUa+J0xny5ILS7c vSxZpG4luirhlYACbd1LxQ== 0001017675-97-000002.txt : 19970107 0001017675-97-000002.hdr.sgml : 19970107 ACCESSION NUMBER: 0001017675-97-000002 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970106 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: 97501474 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: FELLOWS DEWAYNE J CENTRAL INDEX KEY: 0001017675 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 - DECEMBER 1996 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 Fellows, DeWayne J. 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 December 1996 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) Vice President and Controller 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 |12/19/|S | |4,200 |D |$40.6250 | | | | |96 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |12/19/|M | |4,174 |A |$19.3125 | | | | |96 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |12/19/|S | |4,174 |D |$40.6250 | | | | |96 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |12/19/|M | |3,000 |A |$22.375 | | | | |96 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |12/19/|S | |3,000 |D |$40.6250 |38,920 |D |--- | |96 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ 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 |$19.3125|12/19|M | |4,174 |D |(1) |12/01|Common Stock|4,174 |-- | | | | Stock Option (Right to| |/96 | | | | | |/02 | | | | | | | Buy)w/Tandem Withhold| | | | | | | | | | | | | | | ing Right | | | | | | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Nonqualified |$22.375 |12/19|M | |3,000 |D |(2) |11/15|Common Stock|3,000 |-- |20,126(3) |D |--- | Stock Option (Right to| |/96 | | | | | |/04 | | | | | | | Buy)w/Tandem Withhold| | | | | | | | | | | | | | | ing Right | | | | | | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________|
Explanation of Responses: (1)Of the 4,174 stock options exercised by the reporting person, 1,050 first became exercisable on December 1, 1995, and 3,124 first became exercisable on December 1, 1996. (2)The 3,000 stock options exercised by the reporting person first became exercisable on November 15, 1996. (3)Of the 20,126 stock options held by the reporting person, 3,126 will become exercisable on December 1, 1997, with an exercise price of $19.3125 and an expiration date of December 1, 2002; 3,000 stock options will become exercisable on each of November 15, 1997, November 15, 1998, and November 15, 1999, all with an exercise price of $22.375 and an expiration date of November 15, 2004; and 2,000 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 and an expiration date of November 19, 2006. 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 DeWayne J. Fellows -----END PRIVACY-ENHANCED MESSAGE-----