RTX

SEC source: 0001225208-19-012291 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 246,111

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: 0001225208-19-012219 · doc4.xml · derivative · entry 10

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 66,500 shares

Expires 2021-01-02

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: 0001225208-19-012219 · doc4.xml · nonDerivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,958

SEC source: 0001225208-19-012219 · doc4.xml · nonDerivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,475

SEC source: 0001225208-19-012219 · doc4.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,696

SEC source: 0001225208-19-012219 · doc4.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,916

F2 · price: 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.

SEC source: 0001225208-19-012219 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,899

SEC source: 0001225208-19-012219 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,679

SEC source: 0001225208-19-012219 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 103,458

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, 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.

SEC source: 0001225208-19-011277 · doc4.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,092 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: 0001225208-19-011277 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,173

SEC source: 0001225208-19-011277 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,936

SEC source: 0001225208-19-011277 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,265

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 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.

SEC source: 0001225208-19-010649 · doc4.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9,100 shares

Expires 2020-01-03

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: 0001225208-19-010649 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,747.3281

SEC source: 0001225208-19-010649 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,549.3281

F2 · price: The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $135.7077 to $135.7256 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: 0001225208-19-010649 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,847.3281

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: 0001225208-19-007708 · doc4.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,400

Underlying: Common Stock · 4,400 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, represents a contingent right to receive one share of UTC Common Stock.

F2 · derivative.exercise_date: On May 1, 2017, the reporting person was granted 8,410 RSUs, of which 50% of those RSUs (4,205 RSUs) plus 50% of the dividend equivalents (195 RSUs) vested on May 1, 2019, the second anniversary of the grant date. The remaining 50% of the RSU grant plus dividend equivalents will vest on May 1, 2021.

F2 · derivative.expiration_date: On May 1, 2017, the reporting person was granted 8,410 RSUs, of which 50% of those RSUs (4,205 RSUs) plus 50% of the dividend equivalents (195 RSUs) vested on May 1, 2019, the second anniversary of the grant date. The remaining 50% of the RSU grant plus dividend equivalents will vest on May 1, 2021.

SEC source: 0001225208-19-007708 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,173

SEC source: 0001225208-19-007708 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,219

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, represents a contingent right to receive one share of UTC Common Stock.

SEC source: 0001225208-19-007484 · doc4.xml · derivative · entry 1

Austin Lloyd J. III · CIK 0001680876 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,569.4108

Underlying: Common Stock · 1,435.4067 shares

Expires not disclosed

F1 · derivative.exercise_price: The reporting person acquired these stock units under the United Technologies Corporation Board of Directors Deferred Stock Unit Plan (the Plan) in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

F1 · derivative.exercise_date: The reporting person acquired these stock units under the United Technologies Corporation Board of Directors Deferred Stock Unit Plan (the Plan) in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

F1 · derivative.expiration_date: The reporting person acquired these stock units under the United Technologies Corporation Board of Directors Deferred Stock Unit Plan (the Plan) in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

SEC source: 0001225208-19-007485 · doc4.xml · derivative · entry 1

Bryant Diane M · CIK 0001687544 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,642.8448

Underlying: Common Stock · 2,392.3445 shares

Expires not disclosed

F1 · derivative.exercise_price: The reporting person acquired these stock units under the United Technologies Corporation Board of Directors Deferred Stock Unit Plan (the Plan) in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

F1 · derivative.exercise_date: The reporting person acquired these stock units under the United Technologies Corporation Board of Directors Deferred Stock Unit Plan (the Plan) in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

F1 · derivative.expiration_date: The reporting person acquired these stock units under the United Technologies Corporation Board of Directors Deferred Stock Unit Plan (the Plan) in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

SEC source: 0001225208-19-007486 · doc4.xml · derivative · entry 1

FARACI JOHN V · CIK 0001189930 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,680.0239

Underlying: Common Stock · 2,357.163 shares

Expires not disclosed

F1 · derivative.exercise_price: The reporting person acquired these stock units under the United Technologies Corporation Board of Directors Deferred Stock Unit Plan (the Plan) in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

F1 · derivative.exercise_date: The reporting person acquired these stock units under the United Technologies Corporation Board of Directors Deferred Stock Unit Plan (the Plan) in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

F1 · derivative.expiration_date: The reporting person acquired these stock units under the United Technologies Corporation Board of Directors Deferred Stock Unit Plan (the Plan) in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

SEC source: 0001225208-19-007487 · doc4.xml · derivative · entry 3

GARNIER JEAN PIERRE · CIK 0001184175 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,411.2294

Underlying: Common Stock · 2,357.163 shares

Expires not disclosed

F1 · derivative.exercise_price: The reporting person acquired these stock units under the United Technologies Corporation Board of Directors Deferred Stock Unit Plan (the Plan) in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

F1 · derivative.exercise_date: The reporting person acquired these stock units under the United Technologies Corporation Board of Directors Deferred Stock Unit Plan (the Plan) in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

F1 · derivative.expiration_date: The reporting person acquired these stock units under the United Technologies Corporation Board of Directors Deferred Stock Unit Plan (the Plan) in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

SEC source: 0001225208-19-007488 · doc4.xml · derivative · entry 2

KEARNEY CHRISTOPHER J · CIK 0001248040 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,782.1981

Underlying: Common Stock · 2,392.3445 shares

Expires not disclosed

F1 · derivative.exercise_price: The reporting person acquired these stock units under the United Technologies Corporation Board of Directors Deferred Stock Unit Plan (the Plan) in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

F1 · derivative.exercise_date: The reporting person acquired these stock units under the United Technologies Corporation Board of Directors Deferred Stock Unit Plan (the Plan) in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

F1 · derivative.expiration_date: The reporting person acquired these stock units under the United Technologies Corporation Board of Directors Deferred Stock Unit Plan (the Plan) in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

SEC source: 0001225208-19-007489 · doc4.xml · derivative · entry 2

Kullman Ellen Jamison · CIK 0001303141 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,944.3032

Underlying: Common Stock · 2,744.1599 shares

Expires not disclosed

F1 · derivative.exercise_price: The reporting person acquired these stock units under the United Technologies Corporation Board of Directors Deferred Stock Unit Plan (the Plan) in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

F1 · derivative.exercise_date: The reporting person acquired these stock units under the United Technologies Corporation Board of Directors Deferred Stock Unit Plan (the Plan) in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

F1 · derivative.expiration_date: The reporting person acquired these stock units under the United Technologies Corporation Board of Directors Deferred Stock Unit Plan (the Plan) in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

SEC source: 0001225208-19-007490 · doc4.xml · derivative · entry 2

LARSEN MARSHALL O · CIK 0001024382 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,429.302

Underlying: Common Stock · 1,308.7532 shares

Expires not disclosed

F1 · derivative.exercise_price: The reporting person acquired these stock units under the United Technologies Corporation Board of Directors Deferred Stock Unit Plan (the Plan) in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

F1 · derivative.exercise_date: The reporting person acquired these stock units under the United Technologies Corporation Board of Directors Deferred Stock Unit Plan (the Plan) in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

F1 · derivative.expiration_date: The reporting person acquired these stock units under the United Technologies Corporation Board of Directors Deferred Stock Unit Plan (the Plan) in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

SEC source: 0001225208-19-007492 · doc4.xml · derivative · entry 1

O'Sullivan Margaret L. · CIK 0001721120 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,541.6073

Underlying: Common Stock · 1,435.4067 shares

Expires not disclosed

F1 · derivative.exercise_price: The reporting person acquired these stock units under the United Technologies Corporation Board of Directors Deferred Stock Unit Plan (the Plan) in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

F1 · derivative.exercise_date: The reporting person acquired these stock units under the United Technologies Corporation Board of Directors Deferred Stock Unit Plan (the Plan) in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

F1 · derivative.expiration_date: The reporting person acquired these stock units under the United Technologies Corporation Board of Directors Deferred Stock Unit Plan (the Plan) in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

SEC source: 0001225208-19-007493 · doc4.xml · derivative · entry 1

Ramos Denise L · CIK 0001403773 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,782.1981

Underlying: Common Stock · 2,392.3445 shares

Expires not disclosed

F1 · derivative.exercise_price: The reporting person acquired these stock units under the United Technologies Corporation Board of Directors Deferred Stock Unit Plan (the Plan) in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

F1 · derivative.exercise_date: The reporting person acquired these stock units under the United Technologies Corporation Board of Directors Deferred Stock Unit Plan (the Plan) in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

F1 · derivative.expiration_date: The reporting person acquired these stock units under the United Technologies Corporation Board of Directors Deferred Stock Unit Plan (the Plan) in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

SEC source: 0001225208-19-007494 · doc4.xml · derivative · entry 2

Reynolds Fredric G · CIK 0001347950 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,953.0184

Underlying: Common Stock · 1,477.6245 shares

Expires not disclosed

F1 · derivative.exercise_price: The reporting person acquired these stock units under the United Technologies Corporation Board of Directors Deferred Stock Unit Plan (the Plan) in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

F1 · derivative.exercise_date: The reporting person acquired these stock units under the United Technologies Corporation Board of Directors Deferred Stock Unit Plan (the Plan) in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

F1 · derivative.expiration_date: The reporting person acquired these stock units under the United Technologies Corporation Board of Directors Deferred Stock Unit Plan (the Plan) in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

SEC source: 0001225208-19-007495 · doc4.xml · derivative · entry 2

ROGERS BRIAN C · CIK 0001203074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,259.3937

Underlying: Common Stock · 2,357.163 shares

Expires not disclosed

F1 · derivative.exercise_price: The reporting person acquired these stock units under the United Technologies Corporation Board of Directors Deferred Stock Unit Plan (the Plan) in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

F1 · derivative.exercise_date: The reporting person acquired these stock units under the United Technologies Corporation Board of Directors Deferred Stock Unit Plan (the Plan) in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

F1 · derivative.expiration_date: The reporting person acquired these stock units under the United Technologies Corporation Board of Directors Deferred Stock Unit Plan (the Plan) in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

SEC source: 0001225208-19-007496 · doc4.xml · derivative · entry 2

MCGRAW HAROLD III · CIK 0001191761 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,804.8636

Underlying: Common Stock · 1,308.7532 shares

Expires not disclosed

F1 · derivative.exercise_price: The reporting person acquired these stock units under the United Technologies Corporation Board of Directors Deferred Stock Unit Plan (the Plan) in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

F1 · derivative.exercise_date: The reporting person acquired these stock units under the United Technologies Corporation Board of Directors Deferred Stock Unit Plan (the Plan) in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

F1 · derivative.expiration_date: The reporting person acquired these stock units under the United Technologies Corporation Board of Directors Deferred Stock Unit Plan (the Plan) in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

SEC source: 0001225208-19-005424 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

SEC source: 0001225208-19-004157 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,211

F1 · price: The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $126.3600 to $126.7500 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: 0001225208-19-003391 · doc4.xml · nonDerivative · entry 1

Gitlin David L. · CIK 0001631473 · Pres & COO, Collins Aerospace

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse's Trust

Disclosed balance after: 12,893

F1 · balance_after: On or about February 14, 2019, the reporting person transferred 11,351 shares, which he held directly, to the trust.

SEC source: 0001225208-19-003393 · doc4.xml · derivative · entry 5

JOHRI AKHIL · CIK 0001517450 · Executive VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,250 shares

Expires 2020-01-03

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: 0001225208-19-003393 · doc4.xml · nonDerivative · entry 3

JOHRI AKHIL · CIK 0001517450 · Executive VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,665.3589

SEC source: 0001225208-19-003393 · doc4.xml · nonDerivative · entry 2

JOHRI AKHIL · CIK 0001517450 · Executive VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,705.3589

F2 · price: The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $128.4900 to $128.5050 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: 0001225208-19-003393 · doc4.xml · nonDerivative · entry 1

JOHRI AKHIL · CIK 0001517450 · Executive VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,915.3589

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: 0001225208-19-002932 · doc4.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,500 shares

Expires 2022-01-02

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: 0001225208-19-002932 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,819

SEC source: 0001225208-19-002932 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,953

SEC source: 0001225208-19-002932 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,319

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: 0001225208-19-002779 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,634.6382

SEC source: 0001225208-19-002446 · doc4.xml · derivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 30,500 shares

Expires 2020-01-03

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: 0001225208-19-002446 · doc4.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,958

SEC source: 0001225208-19-002446 · doc4.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,616

F3 · price: The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $123.66 to $123.73 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: 0001225208-19-002446 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,458

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.

F2 · 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: 0001225208-19-002447 · doc4.xml · derivative · entry 10

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 86,000 shares

Expires 2020-01-03

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: 0001225208-19-002447 · doc4.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 143,111