AI assistant
RTX Corp — Director's Dealing 2012
Feb 14, 2012
29781_dirs_2012-02-14_c10d322b-9770-4404-8ca2-3d52d44af45f.zip
Director's Dealing
Open in viewerOpens in your device viewer
SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: UNITED TECHNOLOGIES CORP /DE/ (UTX)
CIK: 0000101829
Period of Report: 2012-02-10
Reporting Person: Hess David P (President, Pratt & Whitney)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2012-02-10 | Common Stock | M | 65000.0000 | $75.2100 | Acquired | 113962.0000 | Direct |
| 2012-02-10 | Common Stock | M | 61000.0000 | $62.8100 | Acquired | 174962.0000 | Direct |
| 2012-02-10 | Common Stock | M | 60000.0000 | $70.8100 | Acquired | 234962.0000 | Direct |
| 2012-02-10 | Common Stock | S | 30203.0000 | $83.2763 | Disposed | 204759.0000 | Direct |
| 2012-02-10 | Common Stock | F | 155797.0000 | $83.2400 | Disposed | 48962.0000 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2012-02-10 | Stock Appreciation Right | $70.8100 | M | 60000.0000 | Disposed | 2018-04-08 | Common Stock (60000.0000) | Direct |
| 2012-02-10 | Stock Appreciation Right | $75.2100 | M | 65000.0000 | Disposed | 2018-01-01 | Common Stock (65000.0000) | Direct |
| 2012-02-10 | Stock Appreciation Right | $62.8100 | M | 61000.0000 | Disposed | 2017-01-02 | Common Stock (61000.0000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 5114.0000 | Indirect |
Footnotes
F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $83.24 to $83.39, inclusive. The reporting person undertakes to provide to United Technologies Corporation, any security holder of United Technologies Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote 1 of this Form 4.
F2: 120,000 Stock Appreciation Rights were granted on April 9, 2008 with 60,000 scheduled to vest on 4/9/2011 and 60,000 scheduled to vest on 4/9/2012.