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RTX Corp — Director's Dealing 2011
Apr 7, 2011
29781_dirs_2011-04-07_bcd2df57-6864-48f5-b7d0-0e7f8c01668f.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: 2011-03-31
Reporting Person: JOHRI AKHIL (VP, Financial Planning & IR)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 15337.0000 | Direct |
| Common Stock | 3430.2040 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Non-Qualified Stock Option (right to buy) | $31.7050 | 2013-01-01 | Common Stock (25000.0000) | Direct | |
| Non-Qualified Stock Option (right to buy) | $46.7600 | 2014-01-08 | Common Stock (25200.0000) | Direct | |
| Non-Qualified Stock Option (right to buy) | $51.5000 | 2015-01-02 | Common Stock (23400.0000) | Direct | |
| Restricted Stock Units | $ | Common Stock (9604.6960) | Direct | ||
| SRP Stock Unit | $ | Common Stock (221.9824) | Direct | ||
| Stock Appreciation Right | $54.9500 | 2019-01-01 | Common Stock (21900.0000) | Direct | |
| Stock Appreciation Right | $56.5300 | 2016-01-02 | Common Stock (14500.0000) | Direct | |
| Stock Appreciation Right | $62.8100 | 2017-01-02 | Common Stock (14600.0000) | Direct | |
| Stock Appreciation Right | $71.6300 | 2020-01-03 | Common Stock (14500.0000) | Direct | |
| Stock Appreciation Right | $75.2100 | 2018-01-01 | Common Stock (13600.0000) | Direct | |
| Stock Appreciation Right | $78.9900 | 2021-01-02 | Common Stock (22500.0000) | Direct |
Footnotes
F1: The Restricted Stock Units vest on retirement from UTC on or after age 62 with a minimum of three years of service as a member of UTC's Executive Leadership Group.
F2: 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.
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