Whitehouse David R 4

4 · UNITED TECHNOLOGIES CORP /DE/ · Filed Jan 4, 2018

Form 4

Period: 2018-01-02

Vice President, Treasurer

Transactions

Award
Stock Appreciation Right
2018-01-02$128.16/sh+6,700$858,672→ 6,700 total
Exercise: $128.16From: 2021-01-02Exp: 2028-01-01→ Common Stock (6,700 underlying)
Exercise/Conversion
Common Stock
2018-01-02+2,175→ 6,000 total
Tax Payment
Common Stock
2018-01-02$128.16/sh−797$102,144→ 5,203 total
Exercise/Conversion
Restricted Stock Units 1/2/15
2018-01-02−2,175→ 0 total
→ Common Stock (2,175 underlying)
Award
Restricted Stock Units RSU
2018-01-02$128.16/sh+2,171$278,235→ 2,171 total
From: 2021-01-02→ Common Stock (2,171 underlying)

Holdings

Footnotes (4)

[F1]Each restricted stock unit (RSU) represents a contingent right to receive one share of UTC common stock.
[F2]On January 2, 2015, the reporting person was granted 2,175 RSUs, which vested on the third anniversary of the grant date.
[F3]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.
[F4]The reporting person was also awarded 1,460 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.

Documents

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