0001225208-19-001378.txt : 20190128 0001225208-19-001378.hdr.sgml : 20190128 20190128165648 ACCESSION NUMBER: 0001225208-19-001378 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181126 FILED AS OF DATE: 20190128 DATE AS OF CHANGE: 20190128 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Ortberg Robert Kelly CENTRAL INDEX KEY: 0001377692 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-00812 FILM NUMBER: 19546141 MAIL ADDRESS: STREET 1: 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/A 1 doc4a.xml X0306 4/A 2018-11-26 2018-11-28 0000101829 UNITED TECHNOLOGIES CORP /DE/ UTX 0001377692 Ortberg Robert Kelly 10 FARM SPRINGS ROAD FARMINGTON CT 06032 1 CEO, Collins Aerospace Systems Common Stock 2018-11-26 4 F 0 4762.0000 127.9800 D 112635.0000 D Common Stock 2018-11-26 4 F 0 25837.0000 127.9800 D 86798.0000 D The original Form 4 (filed on November 28, 2018) overstated the reporting person's holdings as a result of two transactions. First, as reported on the original Form 4, the reporting person disposed of 29,309 shares of Rockwell Collins common stock in connection with the vesting of certain performance shares, which resulted in 10,998 shares of UTC common stock. The original Form 4 should have reflected the tax withholding of 4,762 shares associated with this first transaction. Second, as also reported on the original Form 4, the reporting person disposed of 406,900 outstanding Rockwell Collins stock options, which resulted in 58,945 shares of UTC common stock. The original Form 4 should have reflected the tax withholding of 25,837 shares associated with this second transaction. The number of shares withheld for taxes was based on the closing price of UTC on November 26, 2018. The reporting person also held 368 shares of UTC common stock before becoming a Section 16 officer of UTC, of which 54 shares were inadvertently excluded from the reporting person's original Form 3 and the original Form 4, which is the subject of this amendment. /s/ Ariel R. David as Attorney-in-Fact 2019-01-28