Filing Details

Accession Number:
0001225208-16-041869
Form Type:
4
Zero Holdings:
No
Publication Time:
2016-11-16 17:03:33
Reporting Period:
2016-11-14
Filing Date:
2016-11-16
Accepted Time:
2016-11-16 17:03:33
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
1225946 Gregory Hayes 10 Farm Springs Road
Farmington CT 06032
Chairman, President And Ceo Yes 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 2016-11-14 90,000 $70.81 183,825 No 4 M Direct
Common Stock Disposition 2016-11-14 7,696 $108.91 176,129 No 4 D Direct
Common Stock Disposition 2016-11-14 15,748 $108.89 160,381 No 4 S Direct
Common Stock Disposition 2016-11-14 29,252 $108.93 131,129 No 4 D Direct
Common Stock Disposition 2016-11-14 29,260 $108.90 101,869 No 4 D Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 D 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 2016-11-14 90,000 $0.00 90,000 $70.81
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2018-04-08 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 4,940 Indirect By Savings Plan Trustee
Common Stock 874 Indirect By Spouse
Common Stock 1,242 Indirect By Spouse's Savings Plan Account
Footnotes
  1. 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.
  2. The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices ranged from $108.87 to $108.95 per share. Upon request, the reporting person will provide to the Commission staff, the issuer, or a security holder of the issuer full information regarding the number of shares sold at each separate price.
  3. 50% of the stock appreciation rights became exercisable on April 9, 2011 and the remaining 50% became exercisable on April 9, 2012.