RTX

SEC source: 0001225208-20-002374 · doc4.xml · nonDerivative · entry 2

HAYES GREGORY · CIK 0001225946 · Director · Chairman, President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 339,121

F2 · price: The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $154.40 to $154.41 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.

SEC source: 0001225208-20-002374 · doc4.xml · nonDerivative · entry 1

HAYES GREGORY · CIK 0001225946 · Director · Chairman, President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 349,121

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: 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.

SEC source: 0001225208-20-002375 · doc4.xml · derivative · entry 12

Gitlin David L. · CIK 0001631473 · President & CEO, Carrier

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 37,467 shares

Expires 2022-07-31

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001225208-20-002375 · doc4.xml · derivative · entry 11

Gitlin David L. · CIK 0001631473 · President & CEO, Carrier

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,569 shares

Expires 2022-07-31

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001225208-20-002375 · doc4.xml · derivative · entry 10

Gitlin David L. · CIK 0001631473 · President & CEO, Carrier

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 24,500 shares

Expires 2024-01-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001225208-20-002375 · doc4.xml · derivative · entry 9

Gitlin David L. · CIK 0001631473 · President & CEO, Carrier

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 18,900 shares

Expires 2023-01-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001225208-20-002375 · doc4.xml · nonDerivative · entry 6

Gitlin David L. · CIK 0001631473 · President & CEO, Carrier

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,965

F2 · price: 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.

SEC source: 0001225208-20-002375 · doc4.xml · nonDerivative · entry 5

Gitlin David L. · CIK 0001631473 · President & CEO, Carrier

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,456

SEC source: 0001225208-20-002375 · doc4.xml · nonDerivative · entry 4

Gitlin David L. · CIK 0001631473 · President & CEO, Carrier

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 107,053

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: 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.

SEC source: 0001225208-20-002375 · doc4.xml · nonDerivative · entry 3

Gitlin David L. · CIK 0001631473 · President & CEO, Carrier

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,484

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: 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.

SEC source: 0001225208-20-002375 · doc4.xml · nonDerivative · entry 2

Gitlin David L. · CIK 0001631473 · President & CEO, Carrier

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,584

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: 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.

SEC source: 0001225208-20-002375 · doc4.xml · nonDerivative · entry 1

Gitlin David L. · CIK 0001631473 · President & CEO, Carrier

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,084

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: 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.

SEC source: 0001225208-20-002376 · doc4.xml · nonDerivative · entry 1

Amato Elizabeth B · CIK 0001555745 · EVP & Chief HR Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,071.7824

F1 · price: The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $155.15 to $155.25 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.

SEC source: 0001225208-20-002021 · doc4.xml · nonDerivative · entry 2

Bailey Robert J. · CIK 0001685251 · Corporate VP, Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,107

SEC source: 0001225208-20-002021 · doc4.xml · nonDerivative · entry 1

Bailey Robert J. · CIK 0001685251 · Corporate VP, Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,727

F1 · shares: The acquisition of shares of UTC common stock represents the vesting of performance share units (PSUs) previously awarded on January 3, 2017 to the reporting person under the United Technologies Corporation 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. The performance criteria were satisfied at the 114% level.

SEC source: 0001225208-20-002022 · doc4.xml · nonDerivative · entry 2

Mitchill Neil G. JR · CIK 0001633746 · Acting Sr. VP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,926

SEC source: 0001225208-20-002022 · doc4.xml · nonDerivative · entry 1

Mitchill Neil G. JR · CIK 0001633746 · Acting Sr. VP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,182

F1 · shares: The acquisition of shares of UTC common stock represents the vesting of performance share units (PSUs) previously awarded on January 3, 2017 to the reporting person under the United Technologies Corporation 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. The performance criteria were satisfied at the 114% level.

SEC source: 0001225208-20-002023 · doc4.xml · nonDerivative · entry 2

Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,017

SEC source: 0001225208-20-002023 · doc4.xml · nonDerivative · entry 1

Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,282

F1 · shares: The acquisition of shares of UTC common stock represents the vesting of performance share units (PSUs) previously awarded on January 3, 2017 to the reporting person under the United Technologies Corporation 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. The performance criteria were satisfied at the 114% level.

SEC source: 0001225208-20-002024 · doc4.xml · nonDerivative · entry 2

Amato Elizabeth B · CIK 0001555745 · EVP & Chief HR Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,617.7824

SEC source: 0001225208-20-002024 · doc4.xml · nonDerivative · entry 1

Amato Elizabeth B · CIK 0001555745 · EVP & Chief HR Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,862.7824

F1 · shares: The acquisition of shares of UTC common stock represents the vesting of performance share units (PSUs) previously awarded on January 3, 2017 to the reporting person under the United Technologies Corporation 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. The performance criteria were satisfied at the 114% level.

SEC source: 0001225208-20-002025 · doc4.xml · nonDerivative · entry 2

Gitlin David L. · CIK 0001631473 · President & CEO, Carrier

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,617

SEC source: 0001225208-20-002025 · doc4.xml · nonDerivative · entry 1

Gitlin David L. · CIK 0001631473 · President & CEO, Carrier

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,827

F1 · shares: The acquisition of shares of UTC common stock represents the vesting of performance share units (PSUs) previously awarded on January 3, 2017 to the reporting person under the United Technologies Corporation 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. The performance criteria were satisfied at the 114% level.

SEC source: 0001225208-20-002026 · doc4.xml · nonDerivative · entry 2

HAYES GREGORY · CIK 0001225946 · Director · Chairman, President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 242,121

SEC source: 0001225208-20-002026 · doc4.xml · nonDerivative · entry 1

HAYES GREGORY · CIK 0001225946 · Director · Chairman, President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 268,845

F1 · shares: The acquisition of shares of UTC common stock represents the vesting of performance share units (PSUs) previously awarded on January 3, 2017 to the reporting person under the United Technologies Corporation 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. The performance criteria were satisfied at the 114% level.

SEC source: 0001225208-20-002027 · doc4.xml · nonDerivative · entry 2

Calio Christopher T. · CIK 0001781357 · President, P&W

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,115

SEC source: 0001225208-20-002027 · doc4.xml · nonDerivative · entry 1

Calio Christopher T. · CIK 0001781357 · President, P&W

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,372

F1 · shares: The acquisition of shares of UTC common stock represents the vesting of performance share units (PSUs) previously awarded on January 3, 2017 to the reporting person under the United Technologies Corporation 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. The performance criteria were satisfied at the 114% level.

SEC source: 0001225208-20-002028 · doc4.xml · nonDerivative · entry 2

Gill Charles D · CIK 0001395028 · Executive VP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,812

SEC source: 0001225208-20-002028 · doc4.xml · nonDerivative · entry 1

Gill Charles D · CIK 0001395028 · Executive VP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,058

F1 · shares: The acquisition of shares of UTC common stock represents the vesting of performance share units (PSUs) previously awarded on January 3, 2017 to the reporting person under the United Technologies Corporation 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. The performance criteria were satisfied at the 114% level.

SEC source: 0001225208-20-002030 · doc4.xml · nonDerivative · entry 2

Whitehouse David R · CIK 0001638500 · Corp VP, Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,391

SEC source: 0001225208-20-002030 · doc4.xml · nonDerivative · entry 1

Whitehouse David R · CIK 0001638500 · Corp VP, Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,986

F1 · shares: The acquisition of shares of UTC common stock represents the vesting of performance share units (PSUs) previously awarded on January 3, 2017 to the reporting person under the United Technologies Corporation 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. The performance criteria were satisfied at the 114% level.

SEC source: 0001225208-20-001780 · doc4.xml · derivative · entry 4

Whitehouse David R · CIK 0001638500 · Corp VP, Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,700

Underlying: Common Stock · 13,700 shares

Expires 2030-02-03

SEC source: 0001225208-20-001780 · doc4.xml · derivative · entry 3

Whitehouse David R · CIK 0001638500 · Corp VP, Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,455

Underlying: Common Stock · 2,455 shares

Expires not disclosed

F1 · derivative.exercise_price: 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.

F1 · price: 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.

F1 · derivative.expiration_date: 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.

SEC source: 0001225208-20-001781 · doc4.xml · derivative · entry 4

Bailey Robert J. · CIK 0001685251 · Corporate VP, Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,300

Underlying: Common Stock · 11,300 shares

Expires 2030-02-03

SEC source: 0001225208-20-001781 · doc4.xml · derivative · entry 3

Bailey Robert J. · CIK 0001685251 · Corporate VP, Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,030

Underlying: Common Stock · 2,030 shares

Expires not disclosed

F1 · derivative.exercise_price: 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.

F1 · price: 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.

F1 · derivative.expiration_date: 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.

SEC source: 0001225208-20-001782 · doc4.xml · derivative · entry 4

Mitchill Neil G. JR · CIK 0001633746 · Acting Sr. VP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,000

Underlying: Common Stock · 31,000 shares

Expires 2030-02-03

SEC source: 0001225208-20-001782 · doc4.xml · derivative · entry 3

Mitchill Neil G. JR · CIK 0001633746 · Acting Sr. VP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,600

Underlying: Common Stock · 5,600 shares

Expires not disclosed

F1 · derivative.exercise_price: 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.

F1 · price: 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.

F1 · derivative.expiration_date: 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.

SEC source: 0001225208-20-001783 · doc4.xml · derivative · entry 4

Ortberg Robert Kelly · CIK 0001377692 · CEO, Collins Aerospace Systems

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,000

Underlying: Common Stock · 109,000 shares

Expires 2030-02-03

SEC source: 0001225208-20-001783 · doc4.xml · derivative · entry 3

Ortberg Robert Kelly · CIK 0001377692 · CEO, Collins Aerospace Systems

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,700

Underlying: Common Stock · 19,700 shares

Expires not disclosed

F1 · derivative.exercise_price: 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.

F1 · price: 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.

F1 · derivative.expiration_date: 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.

SEC source: 0001225208-20-001784 · doc4.xml · derivative · entry 3

Marks Judith Fran · CIK 0001665490 · President & CEO, Otis

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,000

Underlying: Common Stock · 91,000 shares

Expires 2030-02-03

SEC source: 0001225208-20-001784 · doc4.xml · derivative · entry 2

Marks Judith Fran · CIK 0001665490 · President & CEO, Otis

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,400

Underlying: Common Stock · 16,400 shares

Expires not disclosed

F1 · derivative.exercise_price: 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.

F1 · price: 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.

F1 · derivative.expiration_date: 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.

SEC source: 0001225208-20-001785 · doc4.xml · derivative · entry 5

Gitlin David L. · CIK 0001631473 · President & CEO, Carrier

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,000

Underlying: Common Stock · 91,000 shares

Expires 2030-02-03

SEC source: 0001225208-20-001785 · doc4.xml · derivative · entry 4

Gitlin David L. · CIK 0001631473 · President & CEO, Carrier

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,400

Underlying: Common Stock · 16,400 shares

Expires not disclosed

F1 · derivative.exercise_price: 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.

F1 · price: 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.

F1 · derivative.expiration_date: 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.

SEC source: 0001225208-20-001786 · doc4.xml · derivative · entry 4

Calio Christopher T. · CIK 0001781357 · President, P&W

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,500

Underlying: Common Stock · 54,500 shares

Expires 2030-02-03

SEC source: 0001225208-20-001786 · doc4.xml · derivative · entry 3

Calio Christopher T. · CIK 0001781357 · President, P&W

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,900

Underlying: Common Stock · 9,900 shares

Expires not disclosed

F1 · derivative.exercise_price: 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.

F1 · price: 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.

F1 · derivative.expiration_date: 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.

SEC source: 0001225208-20-001787 · doc4.xml · derivative · entry 7

HAYES GREGORY · CIK 0001225946 · Director · Chairman, President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 255,000

Underlying: Common Stock · 255,000 shares

Expires 2030-02-03

SEC source: 0001225208-20-001787 · doc4.xml · derivative · entry 6

HAYES GREGORY · CIK 0001225946 · Director · Chairman, President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,000

Underlying: Common Stock · 46,000 shares

Expires not disclosed

F1 · derivative.exercise_price: 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.

F1 · price: 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.

F1 · derivative.expiration_date: 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.

SEC source: 0001225208-20-000622 · doc4.xml · derivative · entry 4

Bailey Robert J. · CIK 0001685251 · Corporate VP, Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,176 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 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.

F2 · derivative.expiration_date: On January 3, 2017, the reporting person was granted 1,100 RSUs, which included the right to receive dividend equivalents. On January 3, 2020, the third anniversary of the grant date, 1,176 RSUs, which included accumulated dividend equivalents, vested.

SEC source: 0001225208-20-000622 · doc4.xml · nonDerivative · entry 2

Bailey Robert J. · CIK 0001685251 · Corporate VP, Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 834

SEC source: 0001225208-20-000622 · doc4.xml · nonDerivative · entry 1

Bailey Robert J. · CIK 0001685251 · Corporate VP, Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,176

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: 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.