Statement of Changes in Beneficial Ownership (4)
February 24 2020 - 4:30PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Timm Stephen J. |
2. Issuer Name and Ticker or Trading Symbol
UNITED TECHNOLOGIES CORP /DE/
[
UTX
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
President, Collins Aerospace |
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(Last)
(First)
(Middle)
10 FARM SPRINGS ROAD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/20/2020 |
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(Street)
FARMINGTON, CT 06032
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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| Common Stock | | | | | | | | 1482.0000 | D | |
| Common Stock | | | | | | | | 305.0000 | I | By Savings Plan Trustee |
| Common Stock | | | | | | | | 373.0000 | I | By Spouse's Savings Plan Account |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code
(Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) | 8. Price of Derivative Security
(Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Restricted Stock Units | (1) | 2/20/2020 | | A | | 6530.0000 | | (1) | (1) | Common Stock | 6530.0000 | (1) | 6530.0000 | D | |
| Explanation of Responses: |
| (1) | These Restricted Stock Units (RSU) were awarded in connection with the reporting person's membership in UTC's Executive Leadership Group (ELG). Following three years of ELG service, each RSU, including accumulated dividend equivalents, represents a right to receive one share of UTC Common Stock upon a Qualifying Separation from UTC (as defined in Exhibit 10.6 of UTC's 2019 Form 10-K). |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Timm Stephen J.
10 FARM SPRINGS ROAD
FARMINGTON, CT 06032 |
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| President, Collins Aerospace |
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Signatures
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| /s/ Ariel R. David as Attorney-in-Fact | | 2/24/2020 |
| **Signature of Reporting Person | Date |
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