Form Type: 4

SEC EDGAR Link
Accession Number:0001225208-19-014309
Date:2019-11-07
Issuer: UNITED TECHNOLOGIES CORP /DE/ (UTX)
Original Submission Date:

Reporting Person:

BAILEY ROBERT J.
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 2019-11-07 M 2,600 a $74.66 2,600 direct
COMMON STOCK 2019-11-07 S 1,299 d $149.17 1,301 direct
COMMON STOCK 2019-11-07 D 1,301 d $149.11 0 direct
COMMON STOCK 0 $0.00 4,297 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 74.66 2019-11-07 deemed execution date M 2,600 (d) 2015-01-03 2022-01-02 common stock 2,600 $74.66 8,200 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.

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