Form Type: 4

SEC EDGAR Link
Acccession Number:0001225208-19-014196
Date:2019-11-04
Issuer: UNITED TECHNOLOGIES CORP /DE/ (UTX)
Original Submission Date:

Reporting Person:

LEDUC ROBERT F
10 FARM SPRINGS ROAD
FARMINGTON, CT 06032

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2019-11-04 M 25,500 a $74.66 96,270 direct
COMMON STOCK 2019-11-04 M 23,000 a $84.00 119,270 direct
COMMON STOCK 2019-11-04 S 9,846 d $146.85 109,424 direct
COMMON STOCK 2019-11-04 S 10,767 d $147.08 98,657 direct
COMMON STOCK 2019-11-04 S 12,562 d $147.08 86,095 direct
COMMON STOCK 2019-11-04 D 12,938 d $147.14 73,157 direct
COMMON STOCK 2019-11-04 D 13,154 d $146.87 60,003 direct
COMMON STOCK 0 $0.00 4,480 indirect
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
STOCK APPRECIATION RIGHT 84.0 2019-11-04 deemed execution date M 23,000 (d) 2016-01-02 2023-01-01 common stock 23,000 $84.00 0 direct
STOCK APPRECIATION RIGHT 74.66 2019-11-04 deemed execution date M 25,500 (d) 2015-01-03 2022-01-02 common stock 25,500 $74.66 0 direct
Footnotes
IDfootnote
f1 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.
f2 the price reported in column 4 is a weighted average price for shares sold in multiple transactions. the sale prices range from $146.8200 to $146.9200 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.
f3 the price reported in column 4 is a weighted average price for shares sold in multiple transactions. the sale prices range from $147.0600 to $147.1200 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.
f4 the price reported in column 4 is a weighted average price for shares sold in multiple transactions. the sale prices range from $147.0700 to $147.1200 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.

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