Accession Number: | 0001225208-19-011277 |
Date: | 2019-08-09 |
Issuer: | UNITED TECHNOLOGIES CORP /DE/ (UTX) |
Original Submission Date: |
DUMAIS MICHAEL R
10 FARM SPRINGS ROAD
FARMINGTON, CT 06032
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature of Indirect Ownership |
---|---|---|---|---|---|---|---|---|---|
COMMON STOCK | 2019-08-09 | M | 10,092 | a | $74.79 | 39,265 | direct | ||
COMMON STOCK | 2019-08-09 | S | 4,329 | d | $130.98 | 34,936 | direct | ||
COMMON STOCK | 2019-08-09 | D | 5,763 | d | $130.95 | 29,173 | direct | ||
COMMON STOCK | 2019-08-09 | 0 | $0.00 | 1,767 | indirect |
Title of Derivative Security | Conversion or Exercise Price of Derivative Security | Transaction Date | Deemed Execution Date | Transaction Code | Number of Derivative Securities Acquired (A) or Disposed of (D) | Date Exercisable | Expiration Date | Title and Amount of Securities Underlying Derivative Security | Price of Derivative Security | Number of derivative Securities Beneficially Owned Following Reported Transaction(s) | Ownership Form: Direct (D) or Indirect (I) | Nature of Indirect Beneficial Ownership |
---|---|---|---|---|---|---|---|---|---|---|---|---|
STOCK APPRECIATION RIGHT | 74.79 | 2019-08-09 | deemed execution date | M | 10,092 (d) | 2017-02-06 | 2022-07-31 | common stock 10,092 | $74.79 | 0 | direct |
ID | footnote |
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f1 | the stock appreciation rights (sars) were settled in shares in accordance with the 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. |