RTX Corp — Director's Dealing 2018

Jan 4, 2018

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: UNITED TECHNOLOGIES CORP /DE/ (UTX)
CIK: 0000101829
Period of Report: 2018-01-02

Reporting Person: JOHRI AKHIL (Executive VP and CFO)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2018-01-02	Common Stock	M	39290.0000	—	Acquired	51635.0000	Direct
2018-01-02	Common Stock	F	18211.0000	$128.1600	Disposed	33424.0000	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2018-01-02	Restricted Stock Units RSU	$	M	39290.0000	Disposed		Common Stock (39290.0000)	Direct
2018-01-02	Restricted Stock Units RSU	$	A	6500.0000	Acquired		Common Stock (6500.0000)	Direct
2018-01-02	Stock Appreciation Right	$128.1600	A	53500.0000	Acquired	2028-01-01	Common Stock (53500.0000)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	4393.0000	Indirect

Footnotes

F1: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of UTC Common Stock.

F2: On January 2, 2015, the reporting person was granted 36,510 RSUs, which included the right to receive dividend equivalents. On January 2, 2018, the third anniversary of the grant date, 39,290 RSUs, which included 2,780 accumulated dividend equivalents, vested.

F3: The reporting person was also awarded 16,100 performance share units (PSUs) under the UTC Long-Term Incentive Plan. Each PSU has a value equal to one share of UTC Common Stock. 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.