AI assistant
RTX Corp — Director's Dealing 2003
Nov 10, 2003
29781_dirs_2003-11-10_5356d37d-66dc-41a7-adca-a948bdacb6a9.zip
Director's Dealing
Open in viewerOpens in your device viewer
SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: UNITED TECHNOLOGIES CORP /DE/ (UTX)
CIK: 0000101829
Period of Report: 2003-08-21
Reporting Person: DAVID GEORGE AL (Director, Chairman and CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2003-08-21 | Common Stock | G | 2000 | — | Disposed | 632968.0000 | Direct |
| 2003-08-29 | Common Stock | G | 13500 | — | Disposed | 619468.0000 | Direct |
| 2003-09-11 | Common Stock | G | 80 | — | Disposed | 619388.0000 | Direct |
| 2003-11-06 | Common Stock | C | 4635.616 | $87.3300 | Acquired | 4635.6160 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2003-11-06 | ESOP Series A Convertible Preferred Stock | $0.0000 | C | 1158.904 | Disposed | Common Stock (4635.6160) | Indirect |
Footnotes
F1: The reporting person also directly owns 48,532 shares of United Technologies Career Restricted Common Stock.
F2: Each share of ESOP Series A Convertible Preferred Stock is convertible into four shares of UTC Common Stock. All shares of ESOP Series A Convertible Preferred Stock are held by the Trustee for the UTC Savings Plan for the benefit of employees participating in the Savings Plan. On November 6, 2003 the Trustee exercised its right to convert all shares of ESOP Series A Convertible Preferred Stock into UTC Common Stock.