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RTX Corp — Director's Dealing 2020
Feb 14, 2020
29781_dirs_2020-02-14_fe7b71d4-31b0-4cd1-99e1-0aecc919602b.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: 2020-02-12
Reporting Person: Gitlin David L. (President & CEO, Carrier)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2020-02-12 | Common Stock | M | 37467.0000 | $74.7900 | Acquired | 56084.0000 | Direct |
| 2020-02-12 | Common Stock | M | 24500.0000 | $112.4900 | Acquired | 80584.0000 | Direct |
| 2020-02-12 | Common Stock | M | 18900.0000 | $84.0000 | Acquired | 99484.0000 | Direct |
| 2020-02-12 | Common Stock | M | 7569.0000 | $74.7900 | Acquired | 107053.0000 | Direct |
| 2020-02-12 | Common Stock | D | 49597.0000 | $155.4800 | Disposed | 57456.0000 | Direct |
| 2020-02-12 | Common Stock | S | 51491.0000 | $154.1230 | Disposed | 5965.0000 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2020-02-12 | Stock Appreciation Right | $84.0000 | M | 18900.0000 | Disposed | 2023-01-01 | Common Stock (18900.0000) | Direct |
| 2020-02-12 | Stock Appreciation Right | $112.4900 | M | 24500.0000 | Disposed | 2024-01-01 | Common Stock (24500.0000) | Direct |
| 2020-02-12 | Stock Appreciation Right | $74.7900 | M | 7569.0000 | Disposed | 2022-07-31 | Common Stock (7569.0000) | Direct |
| 2020-02-12 | Stock Appreciation Right | $74.7900 | M | 37467.0000 | Disposed | 2022-07-31 | Common Stock (37467.0000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 2810.0000 | Indirect |
| Common Stock | 12893.0000 | 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 $153.56 to $155.29 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.