AI assistant
RTX Corp — Director's Dealing 2015
Jan 6, 2015
29781_dirs_2015-01-06_feafbbe4-98a5-455d-a621-a739dcf06448.zip
Director's Dealing
Open in viewerOpens in your device viewer
SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: UNITED TECHNOLOGIES CORP /DE/ (UTX)
CIK: 0000101829
Period of Report: 2015-01-01
Reporting Person: JOHRI AKHIL (SVP and CFO)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 7865.0000 | Direct |
| Common Stock | 825.6400 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| SRP Stock Unit | $ | Common Stock (714.0200) | Direct | ||
| Stock Appreciation Right | $54.9500 | 2016-04-15 | Common Stock (21900.0000) | Direct | |
| Stock Appreciation Right | $71.6300 | 2016-04-15 | Common Stock (14500.0000) | Direct | |
| Stock Appreciation Right | $74.6600 | 2016-04-15 | Common Stock (30500.0000) | Direct | |
| Stock Appreciation Right | $75.2100 | 2016-04-15 | Common Stock (13600.0000) | Direct | |
| Stock Appreciation Right | $78.9900 | 2016-04-15 | Common Stock (22500.0000) | Direct |
Footnotes
F1: 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 qualifying termination of service in accordance with the reporting person's distribution election.
F2: The reporting person was also awarded 8,100 performance share units (PSUs) under the UTC Long-Term Incentive Plan. Each PSU has a value equal to one share of UTC common stock. The PSUs vest solely upon achievement of pre-established performance targets for UTC's earnings per share and total shareholder return over a three year performance period.