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RTX Corp — Director's Dealing 2016
Jan 6, 2016
29781_dirs_2016-01-06_b6aa1570-0c1d-4f74-978b-c98ccb5b5aa8.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: UNITED TECHNOLOGIES CORP /DE/ (UTX)
CIK: 0000101829
Period of Report: 2016-01-04
Reporting Person: Whitehouse David R (Vice President, Treasurer)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2016-01-04 | Restricted Stock Units 1/4/16 | $ | A | 1055.0000 | Acquired | Common Stock (1055.0000) | Direct | |
| 2016-01-04 | Stock Appreciation Right | $95.5700 | A | 13200.0000 | Acquired | 2026-01-03 | Common Stock (13200.0000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 1047.0000 | Direct |
| Common Stock | 197.0000 | Indirect |
Footnotes
F1: Each restricted stock unit (RSU) is equal in value to one share of UTC common stock.
F2: The restricted stock units (RSUs) vest after three years.
F3: The reporting person was also awarded 1,580 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 time period.