RTX

SEC source: 0001225208-18-016518 · doc4.xml · derivative · entry 1

Ramos Denise L · CIK 0001403773 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,381.7938

Underlying: Common Stock · 1,381.7938 shares

Expires not disclosed

F1 · derivative.exercise_price: Phantom Stock Units acquired by the reporting person in connection with her annual retainer for a partial year of service as a non-employee director under the Board of Directors Deferred Stock Unit Plan, Exhibit 10.9 of UTC's 2017 Form 10-K. The plan provides for the payment of all or a portion of the retainer in deferred stock units. Upon retirement or termination of service on the Board, all such stock units, including accumulated dividend equivalents, are converted to UTC common stock and paid out as a lump sum or in installments, at the election of the director.

F1 · derivative.exercise_date: Phantom Stock Units acquired by the reporting person in connection with her annual retainer for a partial year of service as a non-employee director under the Board of Directors Deferred Stock Unit Plan, Exhibit 10.9 of UTC's 2017 Form 10-K. The plan provides for the payment of all or a portion of the retainer in deferred stock units. Upon retirement or termination of service on the Board, all such stock units, including accumulated dividend equivalents, are converted to UTC common stock and paid out as a lump sum or in installments, at the election of the director.

F1 · derivative.expiration_date: Phantom Stock Units acquired by the reporting person in connection with her annual retainer for a partial year of service as a non-employee director under the Board of Directors Deferred Stock Unit Plan, Exhibit 10.9 of UTC's 2017 Form 10-K. The plan provides for the payment of all or a portion of the retainer in deferred stock units. Upon retirement or termination of service on the Board, all such stock units, including accumulated dividend equivalents, are converted to UTC common stock and paid out as a lump sum or in installments, at the election of the director.

SEC source: 0001225208-18-016519 · doc4.xml · derivative · entry 3

KEARNEY CHRISTOPHER J · CIK 0001248040 · 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.

SEC source: 0001225208-18-016519 · doc4.xml · derivative · entry 2

KEARNEY CHRISTOPHER J · CIK 0001248040 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,381.7938

Underlying: Common Stock · 1,381.7938 shares

Expires not disclosed

F1 · derivative.exercise_price: Phantom Stock Units acquired by the reporting person in connection with his annual retainer for a partial year of service as a non-employee director under the Board of Directors Deferred Stock Unit Plan, Exhibit 10.9 of UTC's 2017 Form 10-K. The plan provides for the payment of all or a portion of the retainer in deferred stock units. Upon retirement or termination of service on the Board, all such stock units, including accumulated dividend equivalents, are converted to UTC common stock and paid out as a lump sum or in installments, at the election of the director.

F1 · derivative.exercise_date: Phantom Stock Units acquired by the reporting person in connection with his annual retainer for a partial year of service as a non-employee director under the Board of Directors Deferred Stock Unit Plan, Exhibit 10.9 of UTC's 2017 Form 10-K. The plan provides for the payment of all or a portion of the retainer in deferred stock units. Upon retirement or termination of service on the Board, all such stock units, including accumulated dividend equivalents, are converted to UTC common stock and paid out as a lump sum or in installments, at the election of the director.

F1 · derivative.expiration_date: Phantom Stock Units acquired by the reporting person in connection with his annual retainer for a partial year of service as a non-employee director under the Board of Directors Deferred Stock Unit Plan, Exhibit 10.9 of UTC's 2017 Form 10-K. The plan provides for the payment of all or a portion of the retainer in deferred stock units. Upon retirement or termination of service on the Board, all such stock units, including accumulated dividend equivalents, are converted to UTC common stock and paid out as a lump sum or in installments, at the election of the director.

SEC source: 0001225208-18-016291 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,895

Underlying: Common Stock · 79,895 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: 0001225208-18-016011 · doc4.xml · nonDerivative · entry 1

Kullman Ellen Jamison · CIK 0001303141 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse's Trust

Disclosed balance after: 6

F1 · price: In connection with UTC's acquisition of Rockwell Collins, Inc. (Rockwell Collins), effective on November 26, 2018, and pursuant to terms and conditions of the Agreement and Plan of Merger, dated as of September 4, 2017 (the Merger Agreement), by and between UTC, Riveter Merger Sub Corp., a wholly owned subsidiary of UTC, and Rockwell Collins, each share of Rockwell Collins common stock was converted into the right to receive (i) $93.33 in cash, without interest and (ii) 0.37525 of a share of UTC common stock and cash in lieu of fractional shares (together, the Merger Consideration) less any applicable withholding taxes. The Trust (discussed in footnote 2, below) held 18 shares of Rockwell Collins common stock, which, exchanged for Merger Consideration, resulted in the receipt of 6 shares of UTC common stock.

F2 · ownership.nature: These shares are held in a trust for the benefit of the reporting person's spouse who is also the trust's sole trustee.

SEC source: 0001225208-18-016292 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,890

F1 · price: In connection with UTC's acquisition of Rockwell Collins, Inc. (Rockwell Collins), effective on November 26, 2018, and pursuant to terms and conditions of the Agreement and Plan of Merger, dated as of September 4, 2017 (the Merger Agreement), by and between UTC, Riveter Merger Sub Corp., a wholly owned subsidiary of UTC, and Rockwell Collins, each share of Rockwell Collins common stock was converted into the right to receive (i) $93.33 in cash, without interest and (ii) 0.37525 of a share of UTC common stock and cash in lieu of fractional shares (together, the Merger Consideration) less any applicable withholding taxes. The Reporting Person held 300 shares of Rockwell Collins common stock, which, exchanged for Merger Consideration, resulted in the receipt of 112 shares of UTC common stock.

SEC source: 0001225208-18-016293 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,051

F1 · price: In connection with UTC's acquisition of Rockwell Collins, Inc. (Rockwell Collins), effective on November 26, 2018, and pursuant to terms and conditions of the Agreement and Plan of Merger, dated as of September 4, 2017 (the Merger Agreement), by and between UTC, Riveter Merger Sub Corp., a wholly owned subsidiary of UTC, and Rockwell Collins, each share of Rockwell Collins common stock was converted into the right to receive (i) $93.33 in cash, without interest and (ii) 0.37525 of a share of UTC common stock and cash in lieu of fractional shares (together, the Merger Consideration) less any applicable withholding taxes. The Reporting Person held 60 shares of Rockwell Collins common stock, which, exchanged for Merger Consideration, resulted in the receipt of 22 shares of UTC common stock.

SEC source: 0001225208-19-000726 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Children's Trust Accounts

Disclosed balance after: 164

F1 · price: In connection with UTC's acquisition of Rockwell Collins, Inc. (Rockwell Collins), effective on November 26, 2018, and pursuant to the terms and conditions of the Agreement and Plan of Merger, dated as of September 4, 2017 (the Merger Agreement), by and between UTC, Riveter Merger Sub Corp., a wholly owned subsidiary of UTC, and Rockwell Collins, each share of Rockwell Collins common stock was converted into the right to receive (i) $93.33 in cash, without interest and (ii) 0.37525 of a share of UTC common stock and cash in lieu of fractional shares (together, the Merger Consideration) less any applicable withholding taxes. The Reporting Person is the trustee of his children's trust accounts, each of which held 110 shares of Rockwell Collins common stock for a total of 440 shares. When those 440 shares of Rockwell Collins common stock were exchanged for Merger Consideration, each account received 41 shares of UTC common stock for a total of 164 shares.

SEC source: 0001225208-18-015943 · doc4.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,341

Underlying: Common Stock · 30,341 shares

Expires not disclosed

F5 · derivative.exercise_price: Each Restricted Stock Unit (RSU) that accrues during the vesting period represents a contingent right to receive one share of UTC common stock.

F6 · derivative.expiration_date: The reporting person held 18,246 Rockwell Collins restricted stock units (RSUs) plus 27,368 FY18-20 Rockwell Collins performance shares that were exchanged for a number of UTC restricted stock units based upon the Equity Award Exchange Ratio set forth in the Merger Agreement. The 18,246 RSUs resulted in 20,228 UTC RSUs, of which 50 percent vest on Nov 13, 2019 and the remainder vest on November 13, 2020. The 27,368 Rockwell Collins performance shares converted to 30,341 UTC RSUs, which vest on October 2, 2020.

SEC source: 0001225208-18-015943 · doc4.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,228

Underlying: Common Stock · 20,228 shares

Expires not disclosed

F5 · derivative.exercise_price: Each Restricted Stock Unit (RSU) that accrues during the vesting period represents a contingent right to receive one share of UTC common stock.

F6 · derivative.expiration_date: The reporting person held 18,246 Rockwell Collins restricted stock units (RSUs) plus 27,368 FY18-20 Rockwell Collins performance shares that were exchanged for a number of UTC restricted stock units based upon the Equity Award Exchange Ratio set forth in the Merger Agreement. The 18,246 RSUs resulted in 20,228 UTC RSUs, of which 50 percent vest on Nov 13, 2019 and the remainder vest on November 13, 2020. The 27,368 Rockwell Collins performance shares converted to 30,341 UTC RSUs, which vest on October 2, 2020.

SEC source: 0001225208-18-015943 · doc4.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Savings Plan Trustee

Disclosed balance after: 1,879

F4 · price: The reporting person received Merger Consideration for his holdings in the Rockwell Collins Savings Plan. The amount reported is an estimate of the stock portion of the Merger Consideration allocated to the reporting person's Savings Plan account. The Savings Plan will use the cash portion of the Merger Consideration to purchase additional shares of UTC common stock and the reporting persons's holdings through the Savings Plan will be updated accordingly.

SEC source: 0001225208-18-015943 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 117,343

F3 · price: The reporting person disposed of 29,309 shares of Rockwell Collins common stock for Merger Consideration upon the immediate vesting of his FY17-19 performance shares at target pursuant to the Merger Agreement, which resulted in the receipt of 10,998 shares of UTC common stock.

SEC source: 0001225208-18-015943 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 106,345

F2 · price: In connection with UTC's acquisition of Rockwell Collins, Inc. (Rockwell Collins) effective on November 26, 2018, and pursuant to the terms and conditions of the Agreement and Plan of Merger, dated as of September 4, 2017 (the Merger Agreement), by and between UTC, Riveter Merger Sub Corp., a wholly owned subsidiary of UTC, and Rockwell Collins, each share of Rockwell Collins common stock was converted into the right to receive (i) $93.33 in cash, without interest and (ii) 0.37525 of a share of Company common stock and cash in lieu of fractional shares (together, the Merger Consideration) less any applicable withholding taxes. The reporting person held 125,481.5740 shares of Rockwell Collins common stock, which were exchanged for Merger Consideration that resulted in the receipt of 47,086 shares of UTC common stock.

SEC source: 0001225208-18-015943 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,259

F1 · price: The reporting person disposed of his 406,900 outstanding Rockwell Collins stock options for Merger Consideration (as defined below) for each Net Option Share, as set forth in the Merger Agreement (as defined below), subject to the option, which resulted in the receipt of 58,945 shares of UTC common stock.

SEC source: 0000101829-18-000044 · primary_doc.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,341

Underlying: Common Stock · 30,341 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit that accrues during the vesting period represents a contingent right to receive one share of UTC common stock.

F2 · derivative.exercise_date: Column 6 of Table II in the Form 4 filed on November 28, 2018, incorrectly stated that these Restricted Stock Units (RSUs) were exercisable on November 13, 2020. Instead, as correctly noted in footnote (6) associated with the November 28 filing, the RSUs vest on October 2, 2020.

F2 · derivative.expiration_date: Column 6 of Table II in the Form 4 filed on November 28, 2018, incorrectly stated that these Restricted Stock Units (RSUs) were exercisable on November 13, 2020. Instead, as correctly noted in footnote (6) associated with the November 28 filing, the RSUs vest on October 2, 2020.

SEC source: 0001225208-19-001378 · doc4a.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,798

F1 · shares: The original Form 4 (filed on November 28, 2018) overstated the reporting person's holdings as a result of two transactions. First, as reported on the original Form 4, the reporting person disposed of 29,309 shares of Rockwell Collins common stock in connection with the vesting of certain performance shares, which resulted in 10,998 shares of UTC common stock. The original Form 4 should have reflected the tax withholding of 4,762 shares associated with this first transaction. Second, as also reported on the original Form 4, the reporting person disposed of 406,900 outstanding Rockwell Collins stock options, which resulted in 58,945 shares of UTC common stock. The original Form 4 should have reflected the tax withholding of 25,837 shares associated with this second transaction.

F2 · price: The number of shares withheld for taxes was based on the closing price of UTC on November 26, 2018.

SEC source: 0001225208-19-001378 · doc4a.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,635

F1 · shares: The original Form 4 (filed on November 28, 2018) overstated the reporting person's holdings as a result of two transactions. First, as reported on the original Form 4, the reporting person disposed of 29,309 shares of Rockwell Collins common stock in connection with the vesting of certain performance shares, which resulted in 10,998 shares of UTC common stock. The original Form 4 should have reflected the tax withholding of 4,762 shares associated with this first transaction. Second, as also reported on the original Form 4, the reporting person disposed of 406,900 outstanding Rockwell Collins stock options, which resulted in 58,945 shares of UTC common stock. The original Form 4 should have reflected the tax withholding of 25,837 shares associated with this second transaction.

F2 · price: The number of shares withheld for taxes was based on the closing price of UTC on November 26, 2018.

F3 · balance_after: The reporting person also held 368 shares of UTC common stock before becoming a Section 16 officer of UTC, of which 54 shares were inadvertently excluded from the reporting person's original Form 3 and the original Form 4, which is the subject of this amendment.

SEC source: 0001225208-20-001427 · doc4.xml · nonDerivative · entry 9

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,795.8749

F2 · kind: These transactions were dividend reinvestment transactions that were inadvertently executed by the reporting person's investment advisor. These transactions did not result in a short-swing profit because the purchase prices were in each case greater than the matchable sale prices and, as a result, no disgorgement to the issuer is required by the reporting person.

SEC source: 0001225208-20-001427 · doc4.xml · nonDerivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,795.2492

F2 · kind: These transactions were dividend reinvestment transactions that were inadvertently executed by the reporting person's investment advisor. These transactions did not result in a short-swing profit because the purchase prices were in each case greater than the matchable sale prices and, as a result, no disgorgement to the issuer is required by the reporting person.

SEC source: 0001225208-20-001427 · doc4.xml · nonDerivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,794.2492

F2 · kind: These transactions were dividend reinvestment transactions that were inadvertently executed by the reporting person's investment advisor. These transactions did not result in a short-swing profit because the purchase prices were in each case greater than the matchable sale prices and, as a result, no disgorgement to the issuer is required by the reporting person.

SEC source: 0001225208-18-012193 · doc4.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,000

Underlying: Common Stock · 2,000 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: 0001225208-18-012193 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

SEC source: 0001225208-18-012193 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,172

SEC source: 0001225208-18-012193 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,000

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: 0001225208-18-011979 · doc4.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,500

Underlying: Common Stock · 30,000 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: 0001225208-18-011979 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,029

SEC source: 0001225208-18-011979 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,774

F2 · price: The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $136.37 to $136.56 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: 0001225208-18-011979 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,029

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: 0001225208-18-011980 · doc4.xml · derivative · entry 5

JOHRI AKHIL · CIK 0001517450 · Executive VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,250

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: 0001225208-18-011980 · doc4.xml · nonDerivative · entry 3

JOHRI AKHIL · CIK 0001517450 · Executive VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,152.8499

SEC source: 0001225208-18-011980 · doc4.xml · nonDerivative · entry 2

JOHRI AKHIL · CIK 0001517450 · Executive VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,974.8499

SEC source: 0001225208-18-011980 · doc4.xml · nonDerivative · entry 1

JOHRI AKHIL · CIK 0001517450 · Executive VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,402.8499

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: 0001225208-20-001427 · doc4.xml · nonDerivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,702.978

F2 · kind: These transactions were dividend reinvestment transactions that were inadvertently executed by the reporting person's investment advisor. These transactions did not result in a short-swing profit because the purchase prices were in each case greater than the matchable sale prices and, as a result, no disgorgement to the issuer is required by the reporting person.

SEC source: 0001225208-18-009828 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,029

F1 · price: The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $128.46 to $128.50 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: 0001225208-18-009829 · 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 · 10,950 shares

Expires 2019-01-01

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: 0001225208-18-009829 · doc4.xml · nonDerivative · entry 3

JOHRI AKHIL · CIK 0001517450 · Executive VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,138.288

F2 · price: The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $128.3001 to $128.3050 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: 0001225208-18-009829 · doc4.xml · nonDerivative · entry 2

JOHRI AKHIL · CIK 0001517450 · Executive VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,397.288

SEC source: 0001225208-18-009829 · doc4.xml · nonDerivative · entry 1

JOHRI AKHIL · CIK 0001517450 · Executive VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,088.288

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: 0001225208-18-008752 · doc4.xml · derivative · entry 4

MCDONOUGH ROBERT J · CIK 0001123874 · President, UTC CCS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,000 shares

Expires 2019-01-01

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.

F3 · derivative.underlying_shares: This transaction was prompted by and related to the reporting person's impending divorce settlement.

SEC source: 0001225208-18-008752 · doc4.xml · nonDerivative · entry 3

MCDONOUGH ROBERT J · CIK 0001123874 · President, UTC CCS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,612

F2 · price: The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sales prices range from $119.07 to $119.17 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 purchased at each separate price within the range.

SEC source: 0001225208-18-008752 · doc4.xml · nonDerivative · entry 2

MCDONOUGH ROBERT J · CIK 0001123874 · President, UTC CCS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,382

SEC source: 0001225208-18-008752 · doc4.xml · nonDerivative · entry 1

MCDONOUGH ROBERT J · CIK 0001123874 · President, UTC CCS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,612

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: 0001225208-18-008359 · doc4.xml · derivative · entry 1

Austin Lloyd J. III · CIK 0001680876 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,019.1623

Underlying: Common Stock · 1,647.9401 shares

Expires not disclosed

F1 · derivative.exercise_price: The reporting person acquired these Phantom Stock Units under the UTC 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 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 Phantom Stock Units under the UTC 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 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 Phantom Stock Units under the UTC 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 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: 0001225208-18-008360 · doc4.xml · derivative · entry 1

FARACI JOHN V · CIK 0001189930 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,174.8263

Underlying: Common Stock · 2,704.9521 shares

Expires not disclosed

F1 · derivative.exercise_price: The reporting person acquired these Phantom Stock Units under the UTC 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 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 Phantom Stock Units under the UTC 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 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 Phantom Stock Units under the UTC 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 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: 0001225208-18-008361 · doc4.xml · derivative · entry 3

GARNIER JEAN PIERRE · CIK 0001184175 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,106.7651

Underlying: Common Stock · 2,704.9521 shares

Expires not disclosed

F1 · derivative.exercise_price: The reporting person acquired these Phantom Stock Units under the UTC 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 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 Phantom Stock Units under the UTC 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 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 Phantom Stock Units under the UTC 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 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: 0001225208-18-008362 · doc4.xml · derivative · entry 1

Kullman Ellen Jamison · CIK 0001303141 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,748.2888

Underlying: Common Stock · 3,162.7133 shares

Expires not disclosed

F1 · derivative.exercise_price: The reporting person acquired these Phantom Stock Units under the UTC 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 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 Phantom Stock Units under the UTC 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 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 Phantom Stock Units under the UTC 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 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: 0001225208-18-008363 · doc4.xml · derivative · entry 2

LARSEN MARSHALL O · CIK 0001024382 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,737.5813

Underlying: Common Stock · 1,647.9401 shares

Expires not disclosed

F1 · derivative.exercise_price: The reporting person acquired these Phantom Stock Units under the UTC 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 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 Phantom Stock Units under the UTC 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 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 Phantom Stock Units under the UTC 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 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: 0001225208-18-008364 · doc4.xml · derivative · entry 2

MCGRAW HAROLD III · CIK 0001191761 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,321.8316

Underlying: Common Stock · 1,498.1273 shares

Expires not disclosed

F1 · derivative.exercise_price: The reporting person acquired these Phantom Stock Units under the UTC 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 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 Phantom Stock Units under the UTC 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 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 Phantom Stock Units under the UTC 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 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: 0001225208-18-008365 · doc4.xml · derivative · entry 1

O'Sullivan Margaret L. · CIK 0001721120 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,036.7185

Underlying: Common Stock · 1,647.9401 shares

Expires not disclosed

F1 · derivative.exercise_price: The reporting person acquired these Phantom Stock Units under the UTC 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 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 Phantom Stock Units under the UTC 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 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 Phantom Stock Units under the UTC 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 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: 0001225208-18-008366 · doc4.xml · derivative · entry 2

ROGERS BRIAN C · CIK 0001203074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,680.7289

Underlying: Common Stock · 2,704.9521 shares

Expires not disclosed

F1 · derivative.exercise_price: The reporting person acquired these Phantom Stock Units under the UTC 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 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 Phantom Stock Units under the UTC 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 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 Phantom Stock Units under the UTC 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 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.