0001225208-16-037653.txt : 20160809 0001225208-16-037653.hdr.sgml : 20160809 20160809170239 ACCESSION NUMBER: 0001225208-16-037653 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160805 FILED AS OF DATE: 20160809 DATE AS OF CHANGE: 20160809 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: UNITED TECHNOLOGIES CORP /DE/ CENTRAL INDEX KEY: 0000101829 STANDARD INDUSTRIAL CLASSIFICATION: AIRCRAFT ENGINES & ENGINE PARTS [3724] IRS NUMBER: 060570975 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 10 FARM SPRINGS ROAD CITY: FARMINGTON STATE: CT ZIP: 06032 BUSINESS PHONE: 8607287000 MAIL ADDRESS: STREET 1: 10 FARM SPRINGS ROAD CITY: FARMINGTON STATE: CT ZIP: 06032 FORMER COMPANY: FORMER CONFORMED NAME: UNITED TECHNOLOGIES MICROELECTRONICS CENTER DATE OF NAME CHANGE: 19850825 FORMER COMPANY: FORMER CONFORMED NAME: UNITED TECHNOLOGIES CORP DATE OF NAME CHANGE: 19841205 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Dumais Michael R CENTRAL INDEX KEY: 0001531769 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00812 FILM NUMBER: 161819049 MAIL ADDRESS: STREET 1: UNITED TECHNOLOGIES CORPORATION STREET 2: 10 FARM SPRINGS ROAD CITY: FARMINGTON STATE: CT ZIP: 06032 4 1 doc4.xml X0306 4 2016-08-05 0000101829 UNITED TECHNOLOGIES CORP /DE/ UTX 0001531769 Dumais Michael R 10 FARM SPRINGS ROAD FARMINGTON CT 06032 1 SVP, Strategic Planning Common Stock 2016-08-05 4 M 0 7100.0000 71.6300 A 26048.0000 D Common Stock 2016-08-05 4 S 0 2349.0000 107.0500 D 23699.0000 D Common Stock 2016-08-05 4 D 0 4751.0000 107.0400 D 18948.0000 D Common Stock 1654.0000 I By Savings Plan Trustee Stock Appreciation Right 71.6300 2016-08-05 4 M 0 7100.0000 0.0000 D 2013-01-04 2020-01-03 Common Stock 7100.0000 0.0000 D The Stock Appreciation Rights (SARs) were settled in shares in accordance with terms of the award. For Section 16 reporting purposes, the exercise of SARs for stock is treated as an exempt acquisition of the shares underlying the SARs at the exercise price per share specified in the award of SARs and a simultaneous sale back to the issuer of a number of the underlying shares having a value, based on the market price of the issuer's stock on the date of the exercise, equal to the product of the number of underlying SARs times the exercise price per share. /s/ Charles F. Hildebrand as Attorney-in-Fact 2016-08-09