0001225208-16-038774.txt : 20160902
0001225208-16-038774.hdr.sgml : 20160902
20160902170428
ACCESSION NUMBER: 0001225208-16-038774
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160901
FILED AS OF DATE: 20160902
DATE AS OF CHANGE: 20160902
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: Austin Lloyd J. III
CENTRAL INDEX KEY: 0001680876
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-00812
FILM NUMBER: 161869296
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
2016-09-01
0000101829
UNITED TECHNOLOGIES CORP /DE/
UTX
0001680876
Austin Lloyd J. III
10 FARM SPRINGS ROAD
FARMINGTON
CT
06032
1
Phantom Stock Unit
2016-09-01
4
A
0
1574.2129
106.7200
A
Common Stock
1574.2129
1574.2129
D
Restricted Stock Units
2016-09-01
4
A
0
937.0315
106.7200
A
Common Stock
937.0315
937.0315
D
Consists of Phantom Stock Units acquired by the reporting person under the United Technologies Corporation Board of Directors Deferred Stock Unit Plan in respect of his/her annual retainer for services as a non-employee Director. The Plan provides for payment of all or a portion of the retainer in deferred stock units. Upon termination of service as a member of the Board of Directors, the non-employee Director will be entitled to receive a number of shares of Common Stock of United Technologies Corporation equal to the balance of Phantom Stock Units then held in his/her account under the Plan, distributed either as a lump sum or in installments, as previously elected pursuant to the Plan.
Consists of a one-time grant of deferred Restricted Stock Units awarded on the date of election. Vesting occurs over a five year period. Upon termination of services on the Board of Directors, all such deferred Restricted Stock Units are settled in shares unless a timely election is made to convert to fixed interest account.
/s/ Ariel R. David as Attorney-in-Fact
2016-09-02