Statement of Changes in Beneficial Ownership (4)
January 07 2020 - 4:26PM
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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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
*
Dumais Michael R |
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) EVP, Operations & Strategy |
(Last)
(First)
(Middle)
10 FARM SPRINGS ROAD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
1/3/2020 |
(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 | 1/3/2020 | | M | | 5884.0000 | A | $0 (1) | 31378.0000 | D | |
Common Stock | 1/3/2020 | | F | | 1714.0000 | D | $153.3500 | 29664.0000 | D | |
Common Stock | | | | | | | | 1783.0000 | I | By Savings Plan Trustee |
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 RSU | (1) | 1/3/2020 | | M | | | 5884.0000 | 1/3/2020 | (2) | Common Stock | 5884.0000 | $0.0000 | 0.0000 | D | |
Explanation of Responses: |
(1) | Each restricted stock unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of UTC Common Stock. |
(2) | On January 3, 2017, the reporting person was granted 5,500 RSUs, which included the right to receive dividend equivalents. On January 3, 2020, the third anniversary of the grant date, 5,884 RSUs, which included accumulated dividend equivalents, vested. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Dumais Michael R 10 FARM SPRINGS ROAD FARMINGTON, CT 06032 |
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| EVP, Operations & Strategy |
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Signatures
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/s/ Ariel R. David as Attorney-in-Fact | | 1/7/2020 |
**Signature of Reporting Person | Date |
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