0001225208-17-009149.txt : 20170504 0001225208-17-009149.hdr.sgml : 20170504 20170504163326 ACCESSION NUMBER: 0001225208-17-009149 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170503 FILED AS OF DATE: 20170504 DATE AS OF CHANGE: 20170504 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: Bailey Robert J. CENTRAL INDEX KEY: 0001685251 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00812 FILM NUMBER: 17814464 MAIL ADDRESS: STREET 1: 10 FARM SPRINGS ROAD CITY: FARMINGTON STATE: CT ZIP: 06032 4 1 doc4.xml X0306 4 2017-05-03 0000101829 UNITED TECHNOLOGIES CORP /DE/ UTX 0001685251 Bailey Robert J. 10 FARM SPRINGS ROAD FARMINGTON CT 06032 1 Corporate VP, Controller Common Stock 2017-05-03 4 M 0 5000.0000 54.9500 A 5000.0000 D Common Stock 2017-05-03 4 D 0 2298.0000 119.5600 D 2702.0000 D Common Stock 2017-05-03 4 S 0 2702.0000 119.5297 D 0.0000 D Common Stock 4072.0000 I By Savings Plan Trustee Stock Appreciation Right 54.9500 2017-05-03 4 M 0 5000.0000 0.0000 D 2012-01-02 2019-01-01 Common Stock 5000.0000 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/ Ariel R. David as Attorney-in-Fact 2017-05-04