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RTX Corp — Director's Dealing 2012
Sep 14, 2012
29781_dirs_2012-09-14_05176aff-8ced-4a43-bf50-60595e7125bd.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: UNITED TECHNOLOGIES CORP /DE/ (UTX)
CIK: 0000101829
Period of Report: 2012-09-12
Reporting Person: LARSEN MARSHALL O (Director)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2012-09-12 | Phantom Stock Unit | $ | A | 3044.5262 | Acquired | Common Stock (3044.5262) | Direct | |
| 2012-09-12 | Restricted Stock Units | $ | A | 1268.5526 | Acquired | Common Stock (1268.5526) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 1000.0000 | Direct |
| Common Stock | 3804.3680 | Indirect |
| Common Stock | 600.0000 | Indirect |
Footnotes
F1: Consists of Phantom Stock Units acquired by the reporting person in respect of his/her annual retainer for services as a non-employee director under a company program that provides for payment of all or a portion of the retainer in deferred stock units. Upon termination of services on the Board of Directors, all such Phantom Stock Units are payable in cash as a lump sum or in installments, at the election of the director.
F2: Consists of a one-time grant of deferred Restricted Stock Units awarded on the date of election. Vesting occurs over a five year period. Upon termination of services on the Board of Directors, all such deferred Restricted Stock Units are payable in cash.