RTX

SEC source: 0001225208-19-002447 · doc4.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 193,169

F3 · price: The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $123.00 to $124.30 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: 0001225208-19-002447 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 229,111

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.

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: 0001225208-19-002439 · doc4.xml · nonDerivative · entry 2

Whitehouse David R · CIK 0001638500 · Corp VP, Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,325

SEC source: 0001225208-19-002439 · doc4.xml · nonDerivative · entry 1

Whitehouse David R · CIK 0001638500 · Corp VP, Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,899

F1 · shares: The acquisition of shares of UTC common stock represents the vesting of performance share units (PSUs) previously awarded on January 4, 2016 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 116% level.

SEC source: 0001225208-19-002440 · doc4.xml · nonDerivative · entry 2

MCDONOUGH ROBERT J · CIK 0001123874 · President, Carrier

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,184

SEC source: 0001225208-19-002440 · doc4.xml · nonDerivative · entry 1

MCDONOUGH ROBERT J · CIK 0001123874 · President, Carrier

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,704

F1 · shares: The acquisition of shares of UTC common stock represents the vesting of performance share units (PSUs) previously awarded on January 4, 2016 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 116% level.

SEC source: 0001225208-19-002441 · doc4.xml · nonDerivative · entry 2

LEDUC ROBERT F · CIK 0001184190 · President, Pratt & Whitney

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,028

SEC source: 0001225208-19-002441 · doc4.xml · nonDerivative · entry 1

LEDUC ROBERT F · CIK 0001184190 · President, Pratt & Whitney

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,306

F1 · shares: The acquisition of shares of UTC common stock represents the vesting of performance share units (PSUs) previously awarded on January 15, 2016 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 116% level.

SEC source: 0001225208-19-002442 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,351

SEC source: 0001225208-19-002442 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,328

F1 · shares: The acquisition of shares of UTC common stock represents the vesting of performance share units (PSUs) previously awarded on January 4, 2016 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 116% level.

SEC source: 0001225208-19-002443 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,819

SEC source: 0001225208-19-002443 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,927

F1 · shares: The acquisition of shares of UTC common stock represents the vesting of performance share units (PSUs) previously awarded on January 4, 2016 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 116% level.

SEC source: 0001225208-19-002444 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,418

SEC source: 0001225208-19-002444 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,112

F1 · shares: The acquisition of shares of UTC common stock represents the vesting of performance share units (PSUs) previously awarded on January 4, 2016 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 116% level.

SEC source: 0001225208-19-002445 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,723.6382

SEC source: 0001225208-19-002445 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,222.6382

F1 · shares: The acquisition of shares of UTC common stock represents the vesting of performance share units (PSUs) previously awarded on January 4, 2016 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 116% level.

SEC source: 0001225208-19-002446 · doc4.xml · nonDerivative · entry 2

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 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,003

F1 · shares: The acquisition of shares of UTC common stock represents the vesting of performance share units (PSUs) previously awarded on January 4, 2016 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 116% level.

SEC source: 0001225208-19-002447 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 143,111

SEC source: 0001225208-19-002447 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 170,446

F1 · shares: The acquisition of shares of UTC common stock represents the vesting of performance share units (PSUs) previously awarded on January 4, 2016 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 116% level.

SEC source: 0001225208-19-002458 · doc4.xml · nonDerivative · entry 2

JOHRI AKHIL · CIK 0001517450 · Executive VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,665.3589

SEC source: 0001225208-19-002458 · doc4.xml · nonDerivative · entry 1

JOHRI AKHIL · CIK 0001517450 · Executive VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,135.4789

F1 · shares: The acquisition of deferred stock units represents the vesting of performance share units (PSUs) previously awarded on January 4, 2016 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 116% level. The reporting person previously elected to defer receipt of actual shares of common stock that otherwise would be received upon the vesting of these PSUs and instead acquired deferred stock units that settle exclusively in shares and are included in Table I as common stock equivalents. Each deferred stock unit has a value equal to one share of UTC common stock.

SEC source: 0001225208-19-001970 · 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: 0001225208-19-001960 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,000

Underlying: Common Stock · 84,000 shares

Expires 2029-02-04

F1 · balance_after: The reporting person was also awarded 15,200 performance share units (PSUs) under the UTC 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.

SEC source: 0001225208-19-001961 · doc4.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,000

Underlying: Common Stock · 84,000 shares

Expires 2029-02-04

F1 · balance_after: The reporting person was also awarded 15,200 performance share units (PSUs) under the UTC 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.

SEC source: 0001225208-19-001962 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,500

Underlying: Common Stock · 101,500 shares

Expires 2029-02-04

F1 · balance_after: The reporting person was also awarded 18,300 performance share units (PSUs) under the UTC 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.

SEC source: 0001225208-19-001963 · doc4.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 321,000

Underlying: Common Stock · 321,000 shares

Expires 2029-02-04

F1 · balance_after: The reporting person was also awarded 58,000 performance share units (PSUs) under the UTC 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.

SEC source: 0001225208-19-001964 · doc4.xml · derivative · entry 3

JOHRI AKHIL · CIK 0001517450 · Executive VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,000

Underlying: Common Stock · 111,000 shares

Expires 2029-02-04

F1 · balance_after: The reporting person was also awarded 20,100 performance share units (PSUs) under the UTC 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.

SEC source: 0001225208-19-001965 · doc4.xml · derivative · entry 3

LEDUC ROBERT F · CIK 0001184190 · President, Pratt & Whitney

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,500

Underlying: Common Stock · 101,500 shares

Expires 2029-02-04

F1 · balance_after: The reporting person was also awarded 18,300 performance share units (PSUs) under the UTC 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.

SEC source: 0001225208-19-001966 · doc4.xml · derivative · entry 1

Marks Judith Fran · CIK 0001665490 · President, Otis

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,500

Underlying: Common Stock · 101,500 shares

Expires 2029-02-04

F1 · balance_after: The reporting person was also awarded 18,300 performance share units (PSUs) under the UTC 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.

SEC source: 0001225208-19-001968 · doc4.xml · derivative · entry 2

MCDONOUGH ROBERT J · CIK 0001123874 · President, Carrier

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,500

Underlying: Common Stock · 101,500 shares

Expires 2029-02-04

F1 · balance_after: The reporting person was also awarded 18,300 performance share units (PSUs) under the UTC 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.

SEC source: 0001225208-19-001969 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 148,000

Underlying: Common Stock · 148,000 shares

Expires 2029-02-04

F1 · balance_after: The reporting person was also awarded 26,800 performance share units (PSUs) under the UTC 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.

SEC source: 0001225208-19-001970 · doc4.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,700

Underlying: Common Stock · 24,700 shares

Expires 2029-02-04

F2 · balance_after: The reporting person was also awarded 2,680 performance share units (PSUs) under the UTC 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.

SEC source: 0001225208-19-001970 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,785

Underlying: Common Stock · 1,785 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 · 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: 0001225208-19-001972 · doc4.xml · derivative · entry 4

Whitehouse David R · CIK 0001638500 · Corp VP, Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,350

Underlying: Common Stock · 12,350 shares

Expires 2029-02-04

F2 · balance_after: The reporting person was also awarded 2,680 performance share units (PSUs) under the UTC 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.

SEC source: 0001225208-19-001972 · doc4.xml · derivative · entry 3

Whitehouse David R · CIK 0001638500 · Corp VP, Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,021

Underlying: Common Stock · 4,021 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 · 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: 0001225208-19-001971 · doc4.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,000

Underlying: Common Stock · 74,000 shares

Expires 2029-02-04

F2 · balance_after: The reporting person was also awarded 13,400 performance share units (PSUs) under the UTC 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.

SEC source: 0001225208-19-001971 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,285

Underlying: Common Stock · 8,285 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 · 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: 0001225208-19-001614 · doc4.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,500

Underlying: Common Stock · 15,000 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: 0001225208-19-001614 · doc4.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,599

SEC source: 0001225208-19-001614 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,007

F3 · price: The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $119.040 to $119.0522 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: 0001225208-19-001614 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,599

F2 · price: The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $119.221 to $119.230 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: 0001225208-19-001614 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,627

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: 0001225208-19-000724 · doc4.xml · derivative · entry 4

Whitehouse David R · CIK 0001638500 · Corp VP, Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,055 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) represents a contingent right to receive one share of UTC Common Stock.

F2 · derivative.exercise_date: On January 4, 2016, the reporting person was granted 1,055 RSUs, which vested on January 4, 2019, the third anniversary of the grant date.

F2 · derivative.expiration_date: On January 4, 2016, the reporting person was granted 1,055 RSUs, which vested on January 4, 2019, the third anniversary of the grant date.

SEC source: 0001225208-19-000724 · doc4.xml · nonDerivative · entry 2

Whitehouse David R · CIK 0001638500 · Corp VP, Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,066

SEC source: 0001225208-19-000724 · doc4.xml · nonDerivative · entry 1

Whitehouse David R · CIK 0001638500 · Corp VP, Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,454

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

SEC source: 0001225208-19-000725 · 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 · 1,215 shares

Expires 2026-01-03

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.

F1 · derivative.exercise_price: Each restricted stock unit (RSU) represents a contingent right to receive one share of UTC Common Stock.

F2 · derivative.expiration_date: The reporting person's Form 3 that was filed on September 21, 2016 incorrectly reported that the expiration date for these RSUs was January 3, 2026. These RSUs do not have an expiration date. Instead, they vested on January 4, 2019, the third anniversary of the grant date and converted into UTC common stock.

SEC source: 0001225208-19-000725 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 862

SEC source: 0001225208-19-000725 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,215

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

SEC source: 0001225208-18-016518 · doc4.xml · derivative · entry 2

Ramos Denise L · CIK 0001403773 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 837.4508

Underlying: Common Stock · 837.4508 shares

Expires not disclosed

F2 · derivative.exercise_price: A one-time grant of Restricted Stock Units awarded on the date of election to the Board of Directors pursuant to the Board of Directors Deferred Stock Unit Plan, Exhibit 10.9 of UTC's 2017 Form 10-K. Vesting occurs over a five-year period at 20 percent per year. Upon retirement or termination of service on the Board, all such stock units, including accumulated dividend equivalents, are converted to UTC common stock.

F2 · derivative.exercise_date: A one-time grant of Restricted Stock Units awarded on the date of election to the Board of Directors pursuant to the Board of Directors Deferred Stock Unit Plan, Exhibit 10.9 of UTC's 2017 Form 10-K. Vesting occurs over a five-year period at 20 percent per year. Upon retirement or termination of service on the Board, all such stock units, including accumulated dividend equivalents, are converted to UTC common stock.

F2 · derivative.expiration_date: A one-time grant of Restricted Stock Units awarded on the date of election to the Board of Directors pursuant to the Board of Directors Deferred Stock Unit Plan, Exhibit 10.9 of UTC's 2017 Form 10-K. Vesting occurs over a five-year period at 20 percent per year. Upon retirement or termination of service on the Board, all such stock units, including accumulated dividend equivalents, are converted to UTC common stock.