Filing Details

Accession Number:
0001225208-19-012422
Form Type:
4
Zero Holdings:
No
Publication Time:
2019-09-13 16:25:13
Reporting Period:
2019-09-11
Accepted Time:
2019-09-13 16:25:13
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
1395028 D Charles Gill 10 Farm Springs Road
Farmington CT 06032
Executive Vp & General Counsel 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 2019-09-11 75,500 $74.66 112,458 No 4 M Direct
Common Stock Disposition 2019-09-11 11,179 $135.09 101,279 No 4 S Direct
Common Stock Disposition 2019-09-11 11,186 $135.08 90,093 No 4 S Direct
Common Stock Disposition 2019-09-11 11,398 $134.96 78,695 No 4 S Direct
Common Stock Disposition 2019-09-11 13,814 $135.11 64,881 No 4 D Direct
Common Stock Disposition 2019-09-11 13,821 $135.04 51,060 No 4 D Direct
Common Stock Disposition 2019-09-11 14,102 $135.00 36,958 No 4 D Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
No 4 S Direct
No 4 S Direct
No 4 D 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 2019-09-11 75,500 $0.00 75,500 $74.66
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
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 8,910 Indirect By Savings Plan Trustee
Common Stock 1,546 Indirect By Spouse
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, which in this instance occurred in three lots, 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 range from $135.07 to $135.15 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.
  3. The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $134.95 to $135.03 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.