Form Type: 4

SEC EDGAR Link
Acccession Number:0001225208-19-014560
Date:2019-11-13
Issuer: UNITED TECHNOLOGIES CORP /DE/ (UTX)
Original Submission Date:

Reporting Person:

ORTBERG ROBERT KELLY
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 2019-11-13 M 10,114 a $0.00 80,325 direct
COMMON STOCK 2019-11-13 F 3,103 d $148.31 77,222 direct
COMMON STOCK 0 $0.00 6,111 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
RESTRICTED STOCK UNITS RSU 0.0 2019-11-13 deemed execution date M 10,114 (d) 2019-11-13 common stock 10,114 $0.00 10,114 direct
Footnotes
IDfootnote
f1 each restricted stock unit (rsu) represents a contingent right to receive one share of utc common stock.
f2 as previously reported on november 28, 2018, the reporting person held 18,246 rockwell collins restricted stock units (rsus) plus 27,368 fy18-20 rockwell collins performance shares that were exchanged for a number of utc restricted stock units based upon the equity award exchange ratio set forth in the merger agreement between utc and rockwell collins. the 18,246 rsus resulted in 20,228 utc rsus, of which 50 percent vested on nov 13, 2019 and the remainder vest on november 13, 2020.

Elevate your investments