RTX Corp — Director's Dealing 2015

Sep 18, 2015

SEC Form 3 — Initial Statement of Beneficial Ownership

Issuer: UNITED TECHNOLOGIES CORP /DE/ (UTX)
CIK: 0000101829
Period of Report: 2015-09-09

Reporting Person: DELPECH PHILIPPE (President, Otis Elevator)

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	35393.0000	Direct

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Non-Qualified Stock Option (right to buy)	$71.6300	2020-01-03	Common Stock (10100.0000)		Direct
Non-Qualified Stock Option (right to buy)	$74.6600	2022-01-02	Common Stock (18400.0000)		Direct
Non-Qualified Stock Option (right to buy)	$78.9900	2021-01-02	Common Stock (12300.0000)		Direct
Non-Qualified Stock Option (right to buy)	$112.4900	2024-01-01	Common Stock (35000.0000)		Direct
Non-Qualified Stock Option (right to buy)	$115.0400	2025-01-01	Common Stock (50500.0000)		Direct
Restricted Stock Units	$		Common Stock (20627.9356)		Direct
Restricted Stock Units RSU	$		Common Stock (11081.0000)		Direct
Stock Appreciation Right	$84.0000	2023-01-01	Common Stock (25500.0000)		Direct

Footnotes

F1: On January 2, 2014, the reporting person was also granted 69,500 performance stock appreciation rights, 50% of which are subject to vesting on December 31, 2015 and 50% of which are subject to vesting on December 31, 2017, in each case subject to achievement of pre-established business unit earnings, sales and other financial targets. On January 2, 2014, the reporting person was also awarded 9,100 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.

F2: On January 2, 2015, the reporting person was also awarded 12,100 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.

F3: 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. When UTC pays a dividend on its common stock, the officer's RSU account is credited with additional RSUs equal in value to the dividend paid on a corresponding number of shares of common stock.

F4: 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. When UTC pays a dividend on its common stock, the officer's RSU account is credited with additional RSUs equal in value to the dividend paid on a corresponding number of shares of common stock.

F5: The restricted stock units will vest on July 1, 2017. When UTC pays a dividend on its common stock, the officer's RSU account is credited with additional RSUs equal in value to the dividend paid on a corresponding number of shares of common stock.

F6: Each restricted stock unit represents a contingent right to receive one share of United Technologies Corporation common stock.

F7: On January 2, 2013, the reporting person was also awarded 6,200 performance shares 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 targets for UTC's earnings per share and total shareholder return over a three-year period.