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RTX Corp — Director's Dealing 2016
Sep 21, 2016
29781_dirs_2016-09-21_69bd5527-5d6f-4271-9e89-a59d26b61bcb.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: 2016-09-14
Reporting Person: Bailey Robert J. (Corporate VP, Controller)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 4031.7400 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Restricted Stock Units RSU | $ | 2026-01-03 | Common Stock (1215.0000) | Direct | |
| SRP Stock Unit | $ | Common Stock (640.6633) | Direct | ||
| Stock Appreciation Right | $54.9500 | 2019-01-01 | Common Stock (9000.0000) | Direct | |
| Stock Appreciation Right | $71.6300 | 2020-01-03 | Common Stock (7600.0000) | Direct | |
| Stock Appreciation Right | $74.6600 | 2022-01-02 | Common Stock (10800.0000) | Direct | |
| Stock Appreciation Right | $78.9900 | 2021-01-02 | Common Stock (8900.0000) | Direct | |
| Stock Appreciation Right | $84.0000 | 2023-01-01 | Common Stock (12000.0000) | Direct | |
| Stock Appreciation Right | $95.5700 | 2026-01-03 | Common Stock (15200.0000) | Direct | |
| Stock Appreciation Right | $112.4900 | 2024-01-01 | Common Stock (8700.0000) | Direct | |
| Stock Appreciation Right | $115.0400 | 2025-01-01 | Common Stock (9900.0000) | Direct |
Footnotes
F1: Restricted stock units (RSUs) convert into UTC common stock on a one-for-one basis.
F2: 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.
F3: The reporting person was also awarded 1,820 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 return on invested capital, earnings per share growth and total shareholder return relative to the S&P 500 index over a three-year period.
F4: The reporting person was also awarded 2,270 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.
F5: The reporting person was also awarded 2,350 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.