RTX Corp — Director's Dealing 2016

Sep 2, 2016

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: UNITED TECHNOLOGIES CORP /DE/ (UTX)
CIK: 0000101829
Period of Report: 2016-09-01

Reporting Person: Austin Lloyd J. III (Director)

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2016-09-01	Phantom Stock Unit	$	A	1574.2129	Acquired		Common Stock (1574.2129)	Direct
2016-09-01	Restricted Stock Units	$	A	937.0315	Acquired		Common Stock (937.0315)	Direct

Footnotes

F1: Consists of Phantom Stock Units acquired by the reporting person under the United Technologies Corporation Board of Directors Deferred Stock Unit Plan in respect of his/her annual retainer for services as a non-employee Director. The Plan provides for payment of all or a portion of the retainer in deferred stock units. Upon termination of service as a member of the Board of Directors, the non-employee Director will be entitled to receive a number of shares of Common Stock of United Technologies Corporation equal to the balance of Phantom Stock Units then held in his/her account under the Plan, distributed either as a lump sum or in installments, as previously elected pursuant to the Plan.

F2: Consists of a one-time grant of deferred Restricted Stock Units awarded on the date of election. Vesting occurs over a five year period. Upon termination of services on the Board of Directors, all such deferred Restricted Stock Units are settled in shares unless a timely election is made to convert to fixed interest account.