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RTX Corp — Director's Dealing 2013
Sep 18, 2013
29781_dirs_2013-09-18_86ddfe84-3704-4dfe-a46f-a3ab47569ae4.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: 2013-09-16
Reporting Person: HAYES GREGORY (SVP and CFO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-09-16 | Common Stock | M | 50000.0000 | $57.8400 | Acquired | 110419.0000 | Direct |
| 2013-09-16 | Common Stock | M | 46500.0000 | $56.5300 | Acquired | 156919.0000 | Direct |
| 2013-09-16 | Common Stock | M | 30000.0000 | $51.5000 | Acquired | 186919.0000 | Direct |
| 2013-09-16 | Common Stock | S | 22530.0000 | $109.6501 | Disposed | 164389.0000 | Direct |
| 2013-09-16 | Common Stock | S | 23599.0000 | $109.4955 | Disposed | 140790.0000 | Direct |
| 2013-09-16 | Common Stock | F | 23970.0000 | $109.6501 | Disposed | 116820.0000 | Direct |
| 2013-09-16 | Common Stock | F | 26401.0000 | $109.4955 | Disposed | 90419.0000 | Direct |
| 2013-09-16 | Common Stock | S | 30000.0000 | $109.6000 | Disposed | 60419.0000 | Direct |
| 2013-09-16 | Common Stock | M | 140500.0000 | $54.9500 | Acquired | 140500.0000 | Indirect |
| 2013-09-16 | Common Stock | S | 69904.0000 | $109.5212 | Disposed | 70596.0000 | Indirect |
| 2013-09-16 | Common Stock | F | 70596.0000 | $109.5212 | Disposed | 0.0000 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2013-09-16 | Non-Qualified Stock Option (right to buy) | $51.5000 | M | 30000.0000 | Disposed | 2015-01-02 | Common Stock (30000.0000) | Direct |
| 2013-09-16 | Stock Appreciation Right | $56.5300 | M | 46500.0000 | Disposed | 2016-01-02 | Common Stock (46500.0000) | Direct |
| 2013-09-16 | Stock Appreciation Right | $57.8400 | M | 50000.0000 | Disposed | 2016-03-07 | Common Stock (50000.0000) | Direct |
| 2013-09-16 | Stock Appreciation Right | $54.9500 | M | 140500.0000 | Disposed | 2019-01-01 | Common Stock (140500.0000) | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 4351.0000 | Indirect |
| Common Stock | 874.0000 | Indirect |
| Common Stock | 1159.0000 | 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 $109.64 to $109.70. Upon request, UTC will provide full information as to the shares sold at each separate price.
F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $109.48 to $109.57. Upon request, UTC will provide full information as to the shares sold at each separate price.
F3: These Stock Appreciation Rights were exercised and shares sold pursuant to an irrevocable trust agreement.
F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $109.385 to $109.65. Upon request, UTC will provide full information as to the shares sold at each separate price.