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RTX Corp — Director's Dealing 2004
Feb 6, 2004
29781_dirs_2004-02-06_39c95627-c7f3-4e96-b80b-4f1e9eb9b7b6.zip
Director's Dealing
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SEC Form 3/A — Form 3/A
Issuer: UNITED TECHNOLOGIES CORP /DE/ (UTX)
CIK: 0000101829
Period of Report: 2003-07-01
Reporting Person: FINGER STEPHEN N (President, Sikorsky Aircraft)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 116 | Direct |
| Common Stock | 5224.464 | Indirect |
| Common Stock (Career Restricted) | 2800 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| ESOP Series A Convertible Preferred Stock | $0.0000 | 1988-08-08 | Common Stock (4345.4440) | Indirect | |
| Non-Qualified Stock Option (right to buy) | $16.6563 | 2004-01-31 | Common Stock (5000.0000) | Direct | |
| Non-Qualified Stock Option (right to buy) | $16.2813 | 2005-02-04 | Common Stock (14000.0000) | Direct | |
| Non-Qualified Stock Option (right to buy) | $25.0000 | 2006-02-03 | Common Stock (14000.0000) | Direct | |
| Non-Qualified Stock Option (right to buy) | $34.5000 | 2007-02-02 | Common Stock (16000.0000) | Direct | |
| Non-Qualified Stock Option (right to buy) | $36.5625 | 2008-01-01 | Common Stock (20000.0000) | Direct | |
| Non-Qualified Stock Option (right to buy) | $54.0000 | 2009-01-03 | Common Stock (20000.0000) | Direct | |
| Non-Qualified Stock Option (right to buy) | $62.5000 | 2010-01-02 | Common Stock (21700.0000) | Direct | |
| Non-Qualified Stock Option (right to buy) | $75.2500 | 2011-01-01 | Common Stock (22200.0000) | Direct | |
| Non-Qualified Stock Option (right to buy) | $77.0000 | 2011-04-25 | Common Stock (50000.0000) | Direct | |
| Non-Qualified Stock Option (right to buy) | $64.3400 | 2012-01-01 | Common Stock (36700.0000) | Direct | |
| Non-Qualified Stock Option (right to buy) | $63.4100 | 2013-01-01 | Common Stock (38000.0000) | Direct | |
| Phantom Stock Unit | $0.0000 | 1988-08-08 | Common Stock (811.0331) | Direct |
Footnotes
F1: 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.
F2: The shares were acquired during the year pursuant to the United Technologies Corporation Savings Plan, a 401(k) plan. The acquisition of such shares is exempt and shares are convertible or redeemable at the option of the employee, at the termination of employment with the Corporation. A share of ESOP stock is convertible into four shares of common stock and is enttitled to 5.2 votes.
F3: Due to a typographical error the amount of options originally reported was in correct.
F4: Placeholder date entered in accordance with 5/7/03 SEC Staff instructions for electronic filers. Under the Plan, executives may elect to receive the value in a lump sum or in installments following retirement or on specified dates after a five year deferral period.