RTX Corp — Director's Dealing 2019

Feb 22, 2019

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: UNITED TECHNOLOGIES CORP /DE/ (UTX)
CIK: 0000101829
Period of Report: 2019-02-20

Reporting Person: JOHRI AKHIL (Executive VP and CFO)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2019-02-20	Common Stock	M	7250.0000	$71.6300	Acquired	62915.3589	Direct
2019-02-20	Common Stock	S	3210.0000	$128.4945	Disposed	59705.3589	Direct
2019-02-20	Common Stock	D	4040.0000	$128.5200	Disposed	55665.3589	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2019-02-20	Stock Appreciation Right	$71.6300	M	7250.0000	Disposed	2020-01-03	Common Stock (7250.0000)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	4517.0000	Indirect

Footnotes

F1: The Stock Appreciation Rights (SARs) were settled in shares in accordance with terms of the award. For Section 16 reporting purposes, the exercise of SARs for stock is treated as an exempt acquisition of the shares underlying the SARs at the exercise price per share specified in the award of SARs and a simultaneous sale back to the issuer of a number of the underlying shares having a value, based on the market price of the issuer's stock on the date of the exercise, equal to the product of the number of underlying SARs times the exercise price per share.

F2: The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $128.4900 to $128.5050 per share. The reporting person has provided to the issuer, and undertakes to provide to the Commission staff or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price within the range.