-----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, Pt7siFpoo3kVjC62WL1MnwNzghvMpzu0fkD+zSR2MSYX3WVaznKb1culh2kE/hz3 PvhkREZlUvslyD2em0YsnA== 0001049924-97-000002.txt : 19971121 0001049924-97-000002.hdr.sgml : 19971121 ACCESSION NUMBER: 0001049924-97-000002 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19971118 FILED AS OF DATE: 19971120 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: 3 SEC ACT: SEC FILE NUMBER: 001-05358 FILM NUMBER: 97724802 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: CARLSON JAMES R CENTRAL INDEX KEY: 0001049924 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: C/O SUNSTRAND CORP STREET 2: 4949 HARRISON AVENUE CITY: ROCKFORD STATE: IL ZIP: 61125-7003 BUSINESS PHONE: 8152266000 MAIL ADDRESS: STREET 1: C/O SUNDSTRAND CORP STREET 2: 4949 HARRISON AVENUE CITY: ROCKFORD STATE: IL ZIP: 61125-7003 3 1 FORM 3 - NOVEMBER 18, 1997 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 3 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 1. Name and Address of Reporting Person Carlson, James R. Sundstrand Corporation 4949 Harrison Avenue P.O. Box 7003 Rockford,, IL 61125-7003 U.S.A. 2. Date of Event Requiring Statement (Month/Day/Year) November 18, 1997 3. IRS or Social Security Number of Reporting Person (Voluntary) ###-##-#### 4. Issuer Name and Ticker or Trading Symbol Sundstrand Corporation SNS 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) ( ) Director ( ) 10% Owner (X) Officer (give title below) ( ) Other (specify below) Vice President and Treasurer 6. If Amendment, Date of Original (Month/Day/Year) 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 Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1. Title of Security |2. Amount of |3. Ownership |4. Nature of Indirect | | Securities | Form: | Beneficial Ownership | | Beneficially | Direct(D) or | | | Owned | Indirect(I) | | ___________________________________________________________________________________________________________________________________| Common Stock |8,662 |D |--- | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ Table II -- Derivative Securitites Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1.Title of Derivative |2.Date Exer- |3.Title and Amount | |4. Conver-|5. Owner- |6. Nature of Indirect | Security | cisable and | of Underlying | |sion or |ship | Beneficial Ownership | | Expiration | Securities | |exercise |Form of | | | Date(Month/ |-----------------------|---------|price of |Deriv- | | | Day/Year) | |Amount |deri- |ative | | | Date | Expira- | |or |vative |Security: | | | Exer- | tion | Title |Number of|Security |Direct(D) or | | | cisable | Date | |Shares | |Indirect(I) | | ___________________________________________________________________________________________________________________________________| Employee Nonqual Stock O|* |12/01/02 |Common Stock |3,000 |$19.3125 |D |--- | ption (Right to Buy)w/Ta| | | | | | | | ndem Tax Withholding Rig| | | | | | | | ht | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Nonqual Stock O|* |11/15/04 |Common Stock |3,000 |$22.375 |D |--- | ption (Right to Buy)w/Ta| | | | | | | | ndem Tax Withholding Rig| | | | | | | | ht | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Nonqual Stock O|* |11/19/06 |Common Stock |3,000 |$38.9375 |D |--- | ption (Right to Buy)w/Ta| | | | | | | | ndem Tax Withholding Rig| | | | | | | | ht | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Nonqual Stock O|* |11/18/07 |Common Stock |3,000 |$51.3125 |D |--- | ption (Right to Buy)w/Ta| | | | | | | | ndem Tax Withholding RIg| | | | | | | | ht | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________|
Explanation of Responses: *Previous awards to reporting person of options to buy Common Stock under the Company's Stock Incentive Plan and Management Stock Performance Plan in transactions exempt under old Rule 16b-3. Options become exercisable at a rate of 25% of each grant on the second through fifth anniversary dates of December 1, 1992, November 15, 1994, November 19, 1996, and November 18, 1997, respectively, provided that in the event of a "Change in Control" as defined in the plan, such options may become immediately exercisable unless specifically prohibited by the terms of applicable law. -----END PRIVACY-ENHANCED MESSAGE-----