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RTX Corp — Director's Dealing 2012
May 17, 2012
29781_dirs_2012-05-17_d9225d78-1ad5-4620-9234-93483f9f6a90.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: 2012-05-17
Reporting Person: Maurer Michael B (President, Sikorsky Aircraft)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 6017.0000 | Direct |
| Common Stock | 3712.0000 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Non-Qualified Stock Option (right to buy) | $46.7600 | 2014-01-08 | Common Stock (15000.0000) | Direct | |
| Non-Qualified Stock Option (right to buy) | $51.5000 | 2015-01-02 | Common Stock (11300.0000) | Direct | |
| Restricted Stock Units | $ | Common Stock (6215.0000) | Direct | ||
| SRP Stock Unit | $ | Common Stock (293.4662) | Direct | ||
| Stock Appreciation Right | $54.9500 | 2019-01-01 | Common Stock (17600.0000) | Direct | |
| Stock Appreciation Right | $56.5300 | 2016-01-02 | Common Stock (7800.0000) | Direct | |
| Stock Appreciation Right | $62.4700 | 2017-01-08 | Common Stock (9500.0000) | Direct | |
| Stock Appreciation Right | $71.6300 | 2020-01-03 | Common Stock (12000.0000) | Direct | |
| Stock Appreciation Right | $74.6600 | 2022-01-02 | Common Stock (14000.0000) | Direct | |
| Stock Appreciation Right | $75.2100 | 2018-01-01 | Common Stock (10900.0000) | Direct | |
| Stock Appreciation Right | $78.9900 | 2021-01-02 | Common Stock (12300.0000) | Direct |
Footnotes
F1: The restricted stock units vest in two installments. 3,108 units are scheduled to vest on July 1, 2012 and 3,107 units are scheduled to vest on July 1, 2014.
F2: Each restricted stock unit represents a contingent right to receive one share of United Technologies Corporation common stock.
F3: 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.
F4: The reporting person was also awarded 3,440 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 time period.
F5: The reporting person was also awarded 3,700 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 time period.
F6: The reporting person was also awarded 3,180 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 time period.