Gill Charles D 4

4 · UNITED TECHNOLOGIES CORP /DE/ · Filed Sep 6, 2019

Form 4

Period: 2019-09-04

Senior VP and General Counsel

Transactions

Exercise/Conversion
Common Stock
2019-09-04$78.99/sh+66,500$5,252,835→ 103,458 total
Disposition to Issuer
Common Stock
2019-09-04$131.44/sh−13,221$1,737,768→ 50,475 total
Disposition to Issuer
Common Stock
2019-09-04$131.48/sh−13,517$1,777,215→ 36,958 total
Sale
Common Stock
2019-09-04$131.41/sh−8,779$1,153,648→ 94,679 total
Exercise/Conversion
Stock Appreciation Right
2019-09-04−66,500→ 0 total
Exercise: $78.99From: 2014-01-03Exp: 2021-01-02→ Common Stock (66,500 underlying)
Sale
Common Stock
2019-09-04$131.43/sh−8,780$1,153,955→ 85,899 total
Sale
Common Stock
2019-09-04$131.43/sh−8,983$1,180,636→ 76,916 total
Disposition to Issuer
Common Stock
2019-09-04$131.45/sh−13,220$1,737,769→ 63,696 total

Holdings

Footnotes (2)

[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, which in this instance occurred in three lots, 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 $131.40 to $131.45 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.

Documents

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