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RTX Corp — Director's Dealing 2015
Apr 6, 2015
29781_dirs_2015-04-06_f57cae1d-c6bf-4f7a-b4f2-c5510d570795.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: 2015-04-01
Reporting Person: Whitehouse David R (Vice President, Treasurer)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 1047.0000 | Direct |
| Common Stock | 141.3600 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Restricted Stock Units 1/2/13 | $ | Common Stock (1400.0000) | Direct | ||
| Restricted Stock Units 1/2/14 | $ | Common Stock (1025.0000) | Direct | ||
| Restricted Stock Units 1/2/15 | $ | Common Stock (2175.0000) | Direct | ||
| Restricted Stock Units RSU | $ | Common Stock (1631.0000) | Direct | ||
| SRP Stock Unit | $ | Common Stock (44.8300) | Direct |
Footnotes
F1: The restricted stock units vest on January 2, 2016.
F2: On January 2, 2013, the reporting person was also awarded 670 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: Each restricted stock unit represents a contingent right to receive one share of United Technologies Corporation common stock.
F4: The restricted stock units vest on January 2, 2017.
F5: On January 2, 2014, the reporting person was also awarded 530 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 restricted stock units vest on January 2, 2018.
F7: On January 2, 2015, the reporting person was also awarded 1,020 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.
F8: The restricted stock units vest on June 1, 2016.
F9: 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.