0001225208-17-003768.txt : 20170217 0001225208-17-003768.hdr.sgml : 20170217 20170217163513 ACCESSION NUMBER: 0001225208-17-003768 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170216 FILED AS OF DATE: 20170217 DATE AS OF CHANGE: 20170217 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: 17621855 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 2017-02-16 0000101829 UNITED TECHNOLOGIES CORP /DE/ UTX 0001531769 Dumais Michael R 10 FARM SPRINGS ROAD FARMINGTON CT 06032 1 EVP, Operations & Strategy Common Stock 2017-02-16 4 M 0 8600.0000 78.9900 A 27548.0000 D Common Stock 2017-02-16 4 S 0 2541.0000 112.1237 D 25007.0000 D Common Stock 2017-02-16 4 D 0 6059.0000 112.1000 D 18948.0000 D Common Stock 1674.0000 I By Savings Plan Trustee Stock Appreciation Right 78.9900 2017-02-16 4 M 0 8600.0000 0.0000 D 2014-01-03 2021-01-02 Common Stock 8600.0000 8600.0000 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. The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $112.121 to $112.124 per share. The reporting person has provided to the issuer, and undertakes to provide to the Commission staff or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price within the range. /s/ Ariel R. David as Attorney-in-Fact 2017-02-17