-----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, UsZOhU3v4HvH/0fiW8wrciJI9Frn4FY8NaLj106O2EvwKt1LQ4AU60pUdyeCW05Q Qog0VQMeSzLd51tcfO7j+w== 0001057026-99-000004.txt : 19990809 0001057026-99-000004.hdr.sgml : 19990809 ACCESSION NUMBER: 0001057026-99-000004 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19990630 FILED AS OF DATE: 19990802 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: 99675463 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: HYNES MARY ANN CENTRAL INDEX KEY: 0001057026 STANDARD INDUSTRIAL CLASSIFICATION: PUMPS & PUMPING EQUIPMENT [3561] OFFICER STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 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 4 1 FORM 4 - 06/30/99 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP (X) 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 Hynes, Mary Ann IMC Global, Inc. 2100 Sanders Road Northbrook, IL 60062 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 06/30/99 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 General Counsel and Secretary 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 |12/11/| |V|3.156 |A |$48.75 |--- |I |401(k) Plan | |98 | |(| | | | | | | | | |1| | | | | | | | | |)| | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |12/18/| |V|0.1970 |A |$47.25 |--- | D |--- | |98 | |(| | | | | | | | | |2| | | | | | | | | |)| | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |12/23/| |V|2.043 |A |$47.9375 |--- |I |401(k) Plan | |98 | |(| | | | | | | | | |1| | | | | | | | | |)| | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |12/30/| |V|10.3806 |A |$48.1669 |--- |D |--- | |98 | |(| | | | | | | | | |3| | | | | | | | | |)| | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |01/28/| |V|10.2615 |A |$48.726 |--- |D |--- | |99 | |(| | | | | | | | | |3| | | | | | | | | |)| | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |02/25/| |V|8.6414 |A |$57.8610 |--- |D |--- | |99 | |(| | | | | | | | | |3| | | | | | | | | |)| | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |03/19/| |V|0.2029 |A |$68.3211 |--- |D |--- | |99 | |(| | | | | | | | | |2| | | | | | | | | |)| | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |03/25/| |V|7.3218 |A |$68.289 |--- |D |--- | |99 | |(| | | | | | | | | |3| | | | | | | | | |)| | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |03/31/| |V|0.155 |A |$69.50 |--- |I |401(k) Plan | |99 | |(| | | | | | | | | |4| | | | | | | | | |)| | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |03/31/| |V|0.173 |D |n/a |--- |I |401(k) Plan | |99 | |(| | | | | | | | | |5| | | | | | | | | |)| | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |04/22/| |V|7.1156 |A |$70.2686 |--- |D |--- | |99 | |(| | | | | | | | | |3| | | | | | | | | |)| | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |05/28/| |V|0.16 |A |$69.1875 |--- |I |401(k) Plan | |99 | |(| | | | | | | | | |4| | | | | | | | | |)| | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |06/04/|I |S|60.229 |D |$72.125 |-0- |I |401(k) Plan | |99 | |(| | | | | | | | | |6| | | | | | | | | |)| | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |06/10/|J(8)| |3,000 |A |$70.1191 |--- |D |--- | |99 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock |06/10/|J(9)| |5,123.3875 |D |$70.1191 |-0- |D |--- | |99 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ 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 |(7) |06/10|J(7)| |15,000 |D | | |Common Stock|15,000 | |-0- |D |--- | Stock Option (Right to| |/99 | | | | | | | | | | | | | Buy)w/Tandem Withhold| | | | | | | | | | | | | | | ing Right | | | | | | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Restricted Stock Units|n/a |06/10|J(8)| |3,000 |D | | |Common Stock|3,000 | |-0- |D |--- | | |/99 | | | | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________|
Explanation of Responses: (1)Employee contribution resulting in an acquisition of issuer securities in the Sundstrand Corporation Employee Savings Plan - Sundstrand Stock Fund. (2)Acquisition by Reporting Person pursuant to dividend reinvestment on Sundstrand Stock held in account with Smith Barney. (3)Acquisition by Reporting Person through account, via payroll deduction, with Smith Barney. (4)Allocated to Reporting Person's account pusuant to an automatic dividend reinvestment feature of the Sundstrand Corporation Employee Savings Plan-Sundstrand Stock Fund. (5)Adjustment to number of Sundstrand shares held in Reporting Person's Sundstrand Corporation Employee Savings Plan - Sundstrand Stock Fund account to match balance shown on Trustee's records. (6)Disposition of issuer securities in Sundstrand Corporation Employiee Savings Plan - Sundstrand Stock Fund. (7)In connection with the merger with UTC, 15,000 nonvested Sundstrand stock options held by the Reporting Person were vested and converted to 16,596 UTC stock options. Of the 15,000 Sundstrand options held by the Reporting Person prior to the conversion to UTC options, 5,000 were at an exercise price of $59.6875, and 10,00 were at an exercise price of $50.5938. (8)In connection with the merger with UTC, 3,000 restricted stock units held by the Reporting Person were released. The released units were exchanged for 3,000 shares of Sundstrand common stock, which in turn were exchanged for the merger consideration of cash and UTC stock on June 10, 1999, with 1,674 UTC shares being issued to the Reporting Person. (See Note 9 below.) (9)In connection with the merger with UTC, the 5,123 shares of Sundstrand common stock held by the Reporting Person were exchanged for the merger consideration of cash and UTC stock on June 10, 1999, with 2,858 UTC shares being issued to the Reporting Person. Of the 2,858 UTC shares issued, 1,674 were related to the release of restricted stock units (see Note 8 above). -----END PRIVACY-ENHANCED MESSAGE-----