0001225208-18-008752.txt : 20180504 0001225208-18-008752.hdr.sgml : 20180504 20180504162903 ACCESSION NUMBER: 0001225208-18-008752 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180502 FILED AS OF DATE: 20180504 DATE AS OF CHANGE: 20180504 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MCDONOUGH ROBERT J CENTRAL INDEX KEY: 0001123874 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00812 FILM NUMBER: 18808309 MAIL ADDRESS: STREET 1: UNITED TECHNOLOGIES CORPORATION STREET 2: 10 FARM SPRINGS ROAD CITY: FARMINGTON STATE: CT ZIP: 06032 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 4 1 doc4.xml X0306 4 2018-05-02 0000101829 UNITED TECHNOLOGIES CORP /DE/ UTX 0001123874 MCDONOUGH ROBERT J 10 FARM SPRINGS ROAD FARMINGTON CT 06032 1 President, UTC CCS Common Stock 2018-05-02 4 M 0 20000.0000 54.9500 A 40612.0000 D Common Stock 2018-05-02 4 D 0 9230.0000 119.0600 D 31382.0000 D Common Stock 2018-05-02 4 S 0 10770.0000 119.0903 D 20612.0000 D Stock Appreciation Right 54.9500 2018-05-02 4 M 0 20000.0000 0.0000 D 2012-01-02 2019-01-01 Common Stock 20000.0000 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. The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sales prices range from $119.07 to $119.17 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 purchased at each separate price within the range. This transaction was prompted by and related to the reporting person's impending divorce settlement. /s/ Ariel R. David as Attorney-in-Fact 2018-05-04