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RTX Corp — Director's Dealing 2011
Oct 7, 2011
29781_dirs_2011-10-07_3f5941f9-94cc-4b7a-91fe-3193fd1080d0.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: UNITED TECHNOLOGIES CORP /DE/ (UTX)
CIK: 0000101829
Period of Report: 2011-09-28
Reporting Person: Dumais Michael R (President, Hamilton Sundstrand)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 3081.0000 | Direct |
| Common Stock | 1044.0000 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Non-Qualified Stock Option (right to buy) | $46.7600 | 2014-01-08 | Common Stock (18000.0000) | Direct | |
| Non-Qualified Stock Option (right to buy) | $51.5000 | 2015-01-02 | Common Stock (15300.0000) | Direct | |
| SRP Stock Unit | $ | Common Stock (259.7900) | Direct | ||
| Stock Appreciation Right | $54.9500 | 2019-01-01 | Common Stock (20600.0000) | Direct | |
| Stock Appreciation Right | $56.5300 | 2016-01-02 | Common Stock (10700.0000) | Direct | |
| Stock Appreciation Right | $62.8100 | 2017-01-02 | Common Stock (11700.0000) | Direct | |
| Stock Appreciation Right | $71.6300 | 2020-01-03 | Common Stock (14200.0000) | Direct | |
| Stock Appreciation Right | $75.2100 | 2018-01-01 | Common Stock (12200.0000) | Direct | |
| Stock Appreciation Right | $78.9900 | 2021-01-02 | Common Stock (17200.0000) | Direct |
Footnotes
F1: Each Savings Restoration Plan ("SRP") stock unit is the economic equivalent of one share of UTC common stock. The reported SRP stock units were acquired under UTC's Savings Restoration Plan, an excess benefit plan, and are to be settled upon the reporting person's retirement or other termination of service.
F2: The reporting person was also awarded 4,740 performance share units (PSUs) under the UTC Long Term Incentive Plan. Each PSU has a value equal to one share of UTC common stock. These PSUs vest solely upon achievement of pre-established performance targets for UTC's earnings per share and total shareholder return over a three year performance period.
F3: The reporting person was also awarded 4,090 performance share units (PSUs) under the UTC Long Term Incentive Plan. Each PSU has a value equal to one share of UTC common stock. These PSUs vest solely upon achievement of pre-established performance targets for UTC's earnings per share and total shareholder return over a three year performance period.
F4: The reporting person was also awarded 4,450 performance share units (PSUs) under the UTC Long Term Incentive Plan. Each PSU has a value equal to one share of UTC common stock. These PSUs vest solely upon achievement of pre-established performance targets for UTC's earnings per share and total shareholder return.