Statement of Changes in Beneficial Ownership (4)
November 15 2019 - 4:27PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Ortberg Robert Kelly |
2. Issuer Name and Ticker or Trading Symbol
UNITED TECHNOLOGIES CORP /DE/
[
UTX
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
CEO, Collins Aerospace Systems |
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(Last)
(First)
(Middle)
10 FARM SPRINGS ROAD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/13/2019 |
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(Street)
FARMINGTON, CT 06032
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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| Common Stock | 11/13/2019 | | M | | 10114.0000 | A | $0 (1) | 80325.0000 | D | |
| Common Stock | 11/13/2019 | | F | | 3103.0000 | D | $148.3100 | 77222.0000 | D | |
| Common Stock | | | | | | | | 6111.0000 | I | By Savings Plan Trustee |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code
(Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) | 8. Price of Derivative Security
(Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Restricted Stock Units RSU | (1) | 11/13/2019 | | M | | | 10114.0000 | 11/13/2019 (2) | (2) | Common Stock | 10114.0000 | $0.0000 | 10114.0000 | D | |
| Explanation of Responses: |
| (1) | Each restricted stock unit (RSU) represents a contingent right to receive one share of UTC Common Stock. |
| (2) | As previously reported on November 28, 2018, the reporting person held 18,246 Rockwell Collins restricted stock units (RSUs) plus 27,368 FY18-20 Rockwell Collins performance shares that were exchanged for a number of UTC restricted stock units based upon the Equity Award Exchange Ratio set forth in the Merger Agreement between UTC and Rockwell Collins. The 18,246 RSUs resulted in 20,228 UTC RSUs, of which 50 percent vested on Nov 13, 2019 and the remainder vest on November 13, 2020. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Ortberg Robert Kelly
10 FARM SPRINGS ROAD
FARMINGTON, CT 06032 |
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| CEO, Collins Aerospace Systems |
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Signatures
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| /s/ Ariel R. David as Attorney-in-Fact | | 11/15/2019 |
| **Signature of Reporting Person | Date |
United Technologies (NYSE:UTX)
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