Filing Details
- Accession Number:
- 0001225208-19-014196
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-11-06 16:25:51
- Reporting Period:
- 2019-11-04
- Accepted Time:
- 2019-11-06 16:25:51
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 101829 | United Technologies Corp | UTX | Aircraft Engines & Engine Parts (3724) | 060570975 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1184190 | F Robert Leduc | 10 Farm Springs Road Farmington CT 06032 | President, Pratt & Whitney | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2019-11-04 | 25,500 | $74.66 | 96,270 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2019-11-04 | 23,000 | $84.00 | 119,270 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2019-11-04 | 9,846 | $146.85 | 109,424 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2019-11-04 | 10,767 | $147.08 | 98,657 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2019-11-04 | 12,562 | $147.08 | 86,095 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2019-11-04 | 12,938 | $147.14 | 73,157 | No | 4 | D | Direct | |
| Common Stock | Disposition | 2019-11-04 | 13,154 | $146.87 | 60,003 | No | 4 | D | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | D | Direct | |
| No | 4 | D | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Appreciation Right | Disposition | 2019-11-04 | 23,000 | $0.00 | 23,000 | $84.00 |
| Common Stock | Stock Appreciation Right | Disposition | 2019-11-04 | 25,500 | $0.00 | 25,500 | $74.66 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2016-01-02 | 2023-01-01 | No | 4 | M | Direct |
| 0 | 2015-01-03 | 2022-01-02 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 4,480 | Indirect | By Savings Plan Trustee |
Footnotes
- 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.
- 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.
- 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.
- 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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