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