Last 12 months
Inside the activity.
0 purchase rows · 18 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 0 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 12 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 0 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 5 |
| Aug 2026 | 0 | 1 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| April 30, 2018 Filed May 1, 2018 20:37 UTC |
WHITMAN CHRISTINE TODDDirector
|
GrantPhantom Stock Unit · Derivative | 1,498.1273 | $120.15 | $180,000.00 |
DisclosureSEC source: 0001225208-18-008369 · doc4.xml · derivative · entry 2 WHITMAN CHRISTINE TODD · CIK 0001271384 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,502.3817 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. Read SEC document |
| April 30, 2018 Filed May 1, 2018 21:03 UTC |
Bryant Diane MDirector
|
GrantPhantom Stock Unit · Derivative | 2,746.5668 | $120.15 | $330,000.00 |
DisclosureSEC source: 0001225208-18-008376 · doc4.xml · derivative · entry 1 Bryant Diane M · CIK 0001687544 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,088.3149 Underlying: Common Stock · 2,746.5668 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. Read SEC document |
| April 30, 2018 Filed May 1, 2018 21:09 UTC |
Reynolds FredricDirector
|
GrantPhantom Stock Unit · Derivative | 1,697.8777 | $120.15 | $204,000.01 |
DisclosureSEC source: 0001225208-18-008388 · doc4.xml · derivative · entry 2 Reynolds Fredric G · CIK 0001347950 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,330.5467 Underlying: Common Stock · 1,697.8777 shares Expires not disclosed F2 · 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. F2 · 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. F2 · 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. Read SEC document |
| April 27, 2018 Filed May 1, 2018 21:09 UTC |
Reynolds FredricDirector
|
PurchaseCommon Stock | 9,000 | $121.58 | $1,094,250.60 |
DisclosureSEC source: 0001225208-18-008388 · doc4.xml · nonDerivative · entry 1 Reynolds Fredric G · CIK 0001347950 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,225 F1 · price: The price reported in Column 4 is a weighted average price for shares purchased in multiple transactions. The purchase prices range from $121.37 to $121.67 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. Read SEC document |
| April 26, 2018 Filed Apr 27, 2018 20:34 UTC |
Amato Elizabeth BEVP & Chief HR Officer
|
Exercise / conversionStock Appreciation Right · Derivative | 7,700 | $0.00 Strike: $54.95 | $0.00 |
DisclosureSEC source: 0001225208-18-008191 · doc4.xml · derivative · entry 6 Amato Elizabeth B · CIK 0001555745 · EVP & Chief HR Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,700 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. Read SEC document |
| April 26, 2018 Filed Apr 27, 2018 20:34 UTC |
Amato Elizabeth BEVP & Chief HR Officer
|
SaleCommon Stock | 4,283 | $123.85 | $530,461.11 |
DisclosureSEC source: 0001225208-18-008191 · doc4.xml · nonDerivative · entry 4 Amato Elizabeth B · CIK 0001555745 · EVP & Chief HR Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,472.8422 Read SEC document |
| April 26, 2018 Filed Apr 27, 2018 20:34 UTC |
Amato Elizabeth BEVP & Chief HR Officer
|
Disposition to issuerCommon Stock | 3,417 | $123.82 | $423,092.94 |
DisclosureSEC source: 0001225208-18-008191 · doc4.xml · nonDerivative · entry 3 Amato Elizabeth B · CIK 0001555745 · EVP & Chief HR Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,755.8422 Read SEC document |
| April 26, 2018 Filed Apr 27, 2018 20:34 UTC |
Amato Elizabeth BEVP & Chief HR Officer
|
SaleCommon Stock | 2,274 | $123.88 | $281,692.66 |
DisclosureSEC source: 0001225208-18-008191 · doc4.xml · nonDerivative · entry 2 Amato Elizabeth B · CIK 0001555745 · EVP & Chief HR Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,172.8422 Read SEC document |
| April 26, 2018 Filed Apr 27, 2018 20:34 UTC |
Amato Elizabeth BEVP & Chief HR Officer
|
Exercise / conversionCommon Stock | 7,700 | $54.95 | $423,115.00 |
DisclosureSEC source: 0001225208-18-008191 · doc4.xml · nonDerivative · entry 1 Amato Elizabeth B · CIK 0001555745 · EVP & Chief HR Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,446.8422 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. Read SEC document |
| April 02, 2018 Filed Apr 4, 2018 20:32 UTC |
LEDUC ROBERT FPresident, Pratt & Whitney
|
Exercise / conversionRestricted Stock Units RSU · Derivative | 4,648 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-007348 · doc4.xml · derivative · entry 4 LEDUC ROBERT F · CIK 0001184190 · President, Pratt & Whitney 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,648 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represent a contingent right to receive one share of UTC Common Stock. F2 · derivative.exercise_date: On April 1, 2015, the reporting person was granted 4,320 RSUs, which included the right to receive dividend equivalents. On April 1, 2018, the third anniversary of the grant date, 4,648 RSUs, which included accumulated dividend equivalents, vested; however, because April 1, 2018 fell on a Sunday, the earliest date the transaction could be reported was April 2. F2 · derivative.expiration_date: On April 1, 2015, the reporting person was granted 4,320 RSUs, which included the right to receive dividend equivalents. On April 1, 2018, the third anniversary of the grant date, 4,648 RSUs, which included accumulated dividend equivalents, vested; however, because April 1, 2018 fell on a Sunday, the earliest date the transaction could be reported was April 2. Read SEC document |
| April 02, 2018 Filed Apr 4, 2018 20:32 UTC |
LEDUC ROBERT FPresident, Pratt & Whitney
|
Tax withholdingCommon Stock | 1,462 | $123.48 | $180,527.76 |
DisclosureSEC source: 0001225208-18-007348 · doc4.xml · nonDerivative · entry 2 LEDUC ROBERT F · CIK 0001184190 · President, Pratt & Whitney 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,778 Read SEC document |
| April 02, 2018 Filed Apr 4, 2018 20:32 UTC |
LEDUC ROBERT FPresident, Pratt & Whitney
|
Exercise / conversionCommon Stock | 4,648 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-007348 · doc4.xml · nonDerivative · entry 1 LEDUC ROBERT F · CIK 0001184190 · President, Pratt & Whitney 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,240 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represent a contingent right to receive one share of UTC Common Stock. Read SEC document |
| March 13, 2018 Filed Jan 31, 2020 22:53 UTC |
Amato Elizabeth BEVP & Chief HR Officer
|
PurchaseCommon Stock | 1 | $122.73 | $122.73 |
DisclosureSEC source: 0001225208-20-001427 · doc4.xml · nonDerivative · entry 5 Amato Elizabeth B · CIK 0001555745 · EVP & Chief HR Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,882.8422 F1 · kind: These transactions were dividend reinvestment transactions that were inadvertently executed by the reporting person's investment advisor. The reporting person has voluntarily paid to the issuer an amount equal to the short-swing profit that would be payable if the reported transactions were deemed subject to Section 16(b) of the Securities Exchange Act of 1934. Read SEC document |
| March 13, 2018 Filed Jan 31, 2020 22:53 UTC |
Amato Elizabeth BEVP & Chief HR Officer
|
PurchaseCommon Stock | 41 | $132.15 | $5,418.15 |
DisclosureSEC source: 0001225208-20-001427 · doc4.xml · nonDerivative · entry 4 Amato Elizabeth B · CIK 0001555745 · EVP & Chief HR Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,881.8422 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. Read SEC document |
| February 26, 2018 Filed Feb 28, 2018 21:32 UTC |
Bailey Robert J.Corporate VP, Controller
|
Exercise / conversionStock Appreciation Right · Derivative | 4,900 | $0.00 Strike: $78.99 | $0.00 |
DisclosureSEC source: 0001225208-18-004632 · doc4.xml · derivative · entry 5 Bailey Robert J. · CIK 0001685251 · Corporate VP, Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,000 Underlying: Common Stock · 4,900 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. Read SEC document |
| February 26, 2018 Filed Feb 28, 2018 21:32 UTC |
Bailey Robert J.Corporate VP, Controller
|
Disposition to issuerCommon Stock | 2,868 | $134.93 | $386,979.24 |
DisclosureSEC source: 0001225208-18-004632 · doc4.xml · nonDerivative · entry 3 Bailey Robert J. · CIK 0001685251 · Corporate VP, Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| February 26, 2018 Filed Feb 28, 2018 21:32 UTC |
Bailey Robert J.Corporate VP, Controller
|
SaleCommon Stock | 2,032 | $134.95 | $274,217.18 |
DisclosureSEC source: 0001225208-18-004632 · doc4.xml · nonDerivative · entry 2 Bailey Robert J. · CIK 0001685251 · Corporate VP, Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,868 Read SEC document |
| February 26, 2018 Filed Feb 28, 2018 21:32 UTC |
Bailey Robert J.Corporate VP, Controller
|
Exercise / conversionCommon Stock | 4,900 | $78.99 | $387,051.00 |
DisclosureSEC source: 0001225208-18-004632 · doc4.xml · nonDerivative · entry 1 Bailey Robert J. · CIK 0001685251 · Corporate VP, Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,900 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. Read SEC document |
| February 22, 2018 Filed Feb 23, 2018 21:32 UTC |
Bailey Robert J.Corporate VP, Controller
|
SaleCommon Stock | 419 | $133.73 | $56,033.71 |
DisclosureSEC source: 0001225208-18-004026 · doc4.xml · nonDerivative · entry 1 Bailey Robert J. · CIK 0001685251 · Corporate VP, Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| February 12, 2018 Filed Feb 14, 2018 21:48 UTC |
Amato Elizabeth BEVP & Chief HR Officer
|
Tax withholdingCommon Stock | 1,058 | $127.38 | $134,768.04 |
DisclosureSEC source: 0001225208-18-002907 · doc4.xml · nonDerivative · entry 2 Amato Elizabeth B · CIK 0001555745 · EVP & Chief HR Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,696.2957 Read SEC document |
| February 12, 2018 Filed Feb 14, 2018 21:48 UTC |
Amato Elizabeth BEVP & Chief HR Officer
|
GrantCommon Stock | 3,332 | $127.38 | $424,430.16 |
DisclosureSEC source: 0001225208-18-002907 · doc4.xml · nonDerivative · entry 1 Amato Elizabeth B · CIK 0001555745 · EVP & Chief HR Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,754.2957 F1 · shares: The acquisition of shares of UTC common stock represents the vesting of performance share units (PSUs) awarded to the reporting person on January 2, 2015, under the UTC Long-Term Incentive Plan. Each PSU has a value equal to one share of UTC common stock. The PSUs vested solely upon achievement of pre-established performance targets for UTC's earnings per share growth and total shareholder return over a three-year performance period, which ended on December 31, 2017. The performance criteria were satisfied at the 28% level. Read SEC document |
| February 12, 2018 Filed Feb 14, 2018 21:55 UTC |
Bailey Robert J.Corporate VP, Controller
|
Tax withholdingCommon Stock | 239 | $127.38 | $30,443.82 |
DisclosureSEC source: 0001225208-18-002909 · doc4.xml · nonDerivative · entry 2 Bailey Robert J. · CIK 0001685251 · Corporate VP, Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 419 Read SEC document |
| February 12, 2018 Filed Feb 14, 2018 21:55 UTC |
Bailey Robert J.Corporate VP, Controller
|
GrantCommon Stock | 658 | $127.38 | $83,816.04 |
DisclosureSEC source: 0001225208-18-002909 · doc4.xml · nonDerivative · entry 1 Bailey Robert J. · CIK 0001685251 · Corporate VP, Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 658 F1 · shares: The acquisition of shares of UTC common stock represents the vesting of performance share units (PSUs) awarded to the reporting person on January 2, 2015, under the UTC Long-Term Incentive Plan. Each PSU has a value equal to one share of UTC common stock. The PSUs vested solely upon achievement of pre-established performance targets for UTC's earnings per share growth and total shareholder return over a three-year performance period, which ended on December 31, 2017. The performance criteria were satisfied at the 28% level. Read SEC document |
| February 12, 2018 Filed Feb 14, 2018 21:58 UTC |
Dumais Michael REVP, Operations & Strategy
|
Tax withholdingCommon Stock | 785 | $127.38 | $99,993.30 |
DisclosureSEC source: 0001225208-18-002910 · doc4.xml · nonDerivative · entry 2 Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,627 Read SEC document |
| February 12, 2018 Filed Feb 14, 2018 21:58 UTC |
Dumais Michael REVP, Operations & Strategy
|
GrantCommon Stock | 2,464 | $127.38 | $313,864.32 |
DisclosureSEC source: 0001225208-18-002910 · doc4.xml · nonDerivative · entry 1 Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,412 F1 · shares: The acquisition of shares of UTC common stock represents the vesting of performance share units (PSUs) awarded to the reporting person on January 2, 2015, under the UTC Long-Term Incentive Plan. Each PSU has a value equal to one share of UTC common stock. The PSUs vested solely upon achievement of pre-established performance targets for UTC's earnings per share growth and total shareholder return over a three-year performance period, which ended on December 31, 2017. The performance criteria were satisfied at the 28% level. Read SEC document |
| February 12, 2018 Filed Feb 14, 2018 21:50 UTC |
Gill Charles DExecutive VP & General Counsel
|
Tax withholdingCommon Stock | 1,361 | $127.38 | $173,364.18 |
DisclosureSEC source: 0001225208-18-002911 · doc4.xml · nonDerivative · entry 2 Gill Charles D · CIK 0001395028 · Executive VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,729 Read SEC document |
| February 12, 2018 Filed Feb 14, 2018 21:50 UTC |
Gill Charles DExecutive VP & General Counsel
|
GrantCommon Stock | 4,312 | $127.38 | $549,262.56 |
DisclosureSEC source: 0001225208-18-002911 · doc4.xml · nonDerivative · entry 1 Gill Charles D · CIK 0001395028 · Executive VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,090 F1 · shares: The acquisition of shares of UTC common stock represents the vesting of performance share units (PSUs) awarded to the reporting person on January 2, 2015, under the UTC Long-Term Incentive Plan. Each PSU has a value equal to one share of UTC common stock. The PSUs vested solely upon achievement of pre-established performance targets for UTC's earnings per share growth and total shareholder return over a three-year performance period, which ended on December 31, 2017. The performance criteria were satisfied at the 28% level. Read SEC document |
| February 12, 2018 Filed Feb 14, 2018 21:50 UTC |
Gitlin David L.Pres., UTC Aerospace Systems
|
Tax withholdingCommon Stock | 924 | $127.38 | $117,699.12 |
DisclosureSEC source: 0001225208-18-002912 · doc4.xml · nonDerivative · entry 2 Gitlin David L. · CIK 0001631473 · Pres., UTC Aerospace Systems 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,156 Read SEC document |
| February 12, 2018 Filed Feb 14, 2018 21:50 UTC |
Gitlin David L.Pres., UTC Aerospace Systems
|
GrantCommon Stock | 3,080 | $127.38 | $392,330.40 |
DisclosureSEC source: 0001225208-18-002912 · doc4.xml · nonDerivative · entry 1 Gitlin David L. · CIK 0001631473 · Pres., UTC Aerospace Systems 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,080 F1 · shares: The acquisition of shares of UTC common stock represents the vesting of performance share units (PSUs) awarded to the reporting person on January 2, 2015, under the UTC Long-Term Incentive Plan. Each PSU has a value equal to one share of UTC common stock. The PSUs vested solely upon achievement of pre-established performance targets for UTC's earnings per share growth and total shareholder return over a three-year performance period, which ended on December 31, 2017. The performance criteria were satisfied at the 28% level. Read SEC document |
| February 12, 2018 Filed Feb 14, 2018 22:02 UTC |
HAYES GREGORYDirector · Chairman, President and CEO
|
Tax withholdingCommon Stock | 3,963 | $127.38 | $504,806.94 |
DisclosureSEC source: 0001225208-18-002913 · doc4.xml · nonDerivative · entry 2 HAYES GREGORY · CIK 0001225946 · Director · Chairman, President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 108,966 Read SEC document |
| February 12, 2018 Filed Feb 14, 2018 22:02 UTC |
HAYES GREGORYDirector · Chairman, President and CEO
|
GrantCommon Stock | 11,060 | $127.38 | $1,408,822.80 |
DisclosureSEC source: 0001225208-18-002913 · doc4.xml · nonDerivative · entry 1 HAYES GREGORY · CIK 0001225946 · Director · Chairman, President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 112,929 F1 · shares: The acquisition of shares of UTC common stock represents the vesting of performance share units (PSUs) awarded to the reporting person on January 2, 2015, under the UTC Long-Term Incentive Plan. Each PSU has a value equal to one share of UTC common stock. The PSUs vested solely upon achievement of pre-established performance targets for UTC's earnings per share growth and total shareholder return over a three-year performance period, which ended on December 31, 2017. The performance criteria were satisfied at the 28% level. Read SEC document |
| February 12, 2018 Filed Feb 14, 2018 22:13 UTC |
MCDONOUGH ROBERT JPresident, UTC CCS
|
Tax withholdingCommon Stock | 827 | $127.38 | $105,343.26 |
DisclosureSEC source: 0001225208-18-002914 · doc4.xml · nonDerivative · entry 2 MCDONOUGH ROBERT J · CIK 0001123874 · President, UTC CCS 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,612 Read SEC document |
| February 12, 2018 Filed Feb 14, 2018 22:13 UTC |
MCDONOUGH ROBERT JPresident, UTC CCS
|
GrantCommon Stock | 3,388 | $127.38 | $431,563.44 |
DisclosureSEC source: 0001225208-18-002914 · doc4.xml · nonDerivative · entry 1 MCDONOUGH ROBERT J · CIK 0001123874 · President, UTC CCS 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,439 F1 · shares: The acquisition of shares of UTC common stock represents the vesting of performance share units (PSUs) awarded to the reporting person on January 2, 2015, under the UTC Long-Term Incentive Plan. Each PSU has a value equal to one share of UTC common stock. The PSUs vested solely upon achievement of pre-established performance targets for UTC's earnings per share growth and total shareholder return over a three-year performance period, which ended on December 31, 2017. The performance criteria were satisfied at the 28% level. Read SEC document |
| February 12, 2018 Filed Feb 14, 2018 21:56 UTC |
Whitehouse David RCorp VP, Treasurer
|
Tax withholdingCommon Stock | 90 | $127.38 | $11,464.20 |
DisclosureSEC source: 0001225208-18-002915 · doc4.xml · nonDerivative · entry 2 Whitehouse David R · CIK 0001638500 · Corp VP, Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,399 Read SEC document |
| February 12, 2018 Filed Feb 14, 2018 21:56 UTC |
Whitehouse David RCorp VP, Treasurer
|
GrantCommon Stock | 286 | $127.38 | $36,430.68 |
DisclosureSEC source: 0001225208-18-002915 · doc4.xml · nonDerivative · entry 1 Whitehouse David R · CIK 0001638500 · Corp VP, Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,489 F1 · shares: The acquisition of shares of UTC common stock represents the vesting of performance share units (PSUs) awarded to the reporting person on January 2, 2015, under the UTC Long-Term Incentive Plan. Each PSU has a value equal to one share of UTC common stock. The PSUs vested solely upon achievement of pre-established performance targets for UTC's earnings per share growth and total shareholder return over a three-year performance period, which ended on December 31, 2017. The performance criteria were satisfied at the 28% level. Read SEC document |
| February 12, 2018 Filed Feb 14, 2018 22:25 UTC |
JOHRI AKHILExecutive VP and CFO
|
Tax withholdingCommon Stock | 63.83 | $127.38 | $8,130.67 |
DisclosureSEC source: 0001225208-18-002926 · doc4.xml · nonDerivative · entry 2 JOHRI AKHIL · CIK 0001517450 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,076.17 Read SEC document |
| February 12, 2018 Filed Feb 14, 2018 22:25 UTC |
JOHRI AKHILExecutive VP and CFO
|
GrantCommon Stock | 2,716 | $127.38 | $345,964.08 |
DisclosureSEC source: 0001225208-18-002926 · doc4.xml · nonDerivative · entry 1 JOHRI AKHIL · CIK 0001517450 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,140 F1 · shares: The acquisition of deferred stock units represents the vesting of performance share units (PSUs) awarded to the reporting person on January 2, 2015, under the UTC Long-Term Incentive Plan. Each PSU has a value equal to one share of UTC common stock. The PSUs vested solely upon achievement of pre-established performance targets for UTC's earnings per share growth and total shareholder return over a three-year performance period, which ended on December 31, 2017. The performance criteria were satisfied at the 28% level. The reporting person previously elected to defer receipt of the 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 1 as common stock equivalents. Each deferred stock unit has a value equal to one share of UTC common stock. Read SEC document |
| February 05, 2018 Filed Feb 7, 2018 21:32 UTC |
MCDONOUGH ROBERT JPresident, UTC CCS
|
GrantStock Appreciation Right · Derivative | 11,745 | $112.49 Strike: $112.49 | $1,321,195.05 |
DisclosureSEC source: 0001225208-18-002225 · doc4.xml · derivative · entry 2 MCDONOUGH ROBERT J · CIK 0001123874 · President, UTC CCS 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,745 Underlying: Common Stock · 11,745 shares Expires 2024-01-01 F1 · date: On January 2, 2014, the reporting person was granted 69,500 performance stock appreciation rights (PSARs). Vesting of the awards was subject to achieving pre-established business unit earnings, sales and other financial targets, and final review of company financial results by the Board. The first half of the PSARs vested on February 8, 2016 at the 94.4% level and became exercisable on February 10, 2016. The performance period for the second half of the PSARs ended on December 31, 2017. The performance criteria were satisfied at the 33.8% level, resulting in the vesting of 11,745 stock appreciation rights and the cancellation of 23,005 stock appreciation rights. F1 · shares: On January 2, 2014, the reporting person was granted 69,500 performance stock appreciation rights (PSARs). Vesting of the awards was subject to achieving pre-established business unit earnings, sales and other financial targets, and final review of company financial results by the Board. The first half of the PSARs vested on February 8, 2016 at the 94.4% level and became exercisable on February 10, 2016. The performance period for the second half of the PSARs ended on December 31, 2017. The performance criteria were satisfied at the 33.8% level, resulting in the vesting of 11,745 stock appreciation rights and the cancellation of 23,005 stock appreciation rights. F1 · derivative.underlying_shares: On January 2, 2014, the reporting person was granted 69,500 performance stock appreciation rights (PSARs). Vesting of the awards was subject to achieving pre-established business unit earnings, sales and other financial targets, and final review of company financial results by the Board. The first half of the PSARs vested on February 8, 2016 at the 94.4% level and became exercisable on February 10, 2016. The performance period for the second half of the PSARs ended on December 31, 2017. The performance criteria were satisfied at the 33.8% level, resulting in the vesting of 11,745 stock appreciation rights and the cancellation of 23,005 stock appreciation rights. Read SEC document |
| January 02, 2018 Filed Jan 4, 2018 21:31 UTC |
JOHRI AKHILExecutive VP and CFO
|
GrantStock Appreciation Right · Derivative | 53,500 | $128.16 Strike: $128.16 | $6,856,560.00 |
DisclosureSEC source: 0001225208-18-000662 · doc4.xml · derivative · entry 6 JOHRI AKHIL · CIK 0001517450 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,500 Underlying: Common Stock · 53,500 shares Expires 2028-01-01 F3 · balance_after: The reporting person was also awarded 16,100 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. Read SEC document |
| January 02, 2018 Filed Jan 4, 2018 21:31 UTC |
JOHRI AKHILExecutive VP and CFO
|
GrantRestricted Stock Units RSU · Derivative | 6,500 | $128.16 | $833,040.00 |
DisclosureSEC source: 0001225208-18-000662 · doc4.xml · derivative · entry 5 JOHRI AKHIL · CIK 0001517450 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,500 Underlying: Common Stock · 6,500 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. Read SEC document |
| January 02, 2018 Filed Jan 4, 2018 21:31 UTC |
JOHRI AKHILExecutive VP and CFO
|
Exercise / conversionRestricted Stock Units RSU · Derivative | 39,290 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-000662 · doc4.xml · derivative · entry 4 JOHRI AKHIL · CIK 0001517450 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 39,290 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of UTC Common Stock. F2 · derivative.exercise_date: On January 2, 2015, the reporting person was granted 36,510 RSUs, which included the right to receive dividend equivalents. On January 2, 2018, the third anniversary of the grant date, 39,290 RSUs, which included 2,780 accumulated dividend equivalents, vested. F2 · derivative.expiration_date: On January 2, 2015, the reporting person was granted 36,510 RSUs, which included the right to receive dividend equivalents. On January 2, 2018, the third anniversary of the grant date, 39,290 RSUs, which included 2,780 accumulated dividend equivalents, vested. Read SEC document |
| January 02, 2018 Filed Jan 4, 2018 21:31 UTC |
JOHRI AKHILExecutive VP and CFO
|
Tax withholdingCommon Stock | 18,211 | $128.16 | $2,333,921.76 |
DisclosureSEC source: 0001225208-18-000662 · doc4.xml · nonDerivative · entry 2 JOHRI AKHIL · CIK 0001517450 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,424 Read SEC document |
| January 02, 2018 Filed Jan 4, 2018 21:31 UTC |
JOHRI AKHILExecutive VP and CFO
|
Exercise / conversionCommon Stock | 39,290 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-000662 · doc4.xml · nonDerivative · entry 1 JOHRI AKHIL · CIK 0001517450 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,635 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of UTC Common Stock. Read SEC document |
| January 02, 2018 Filed Jan 4, 2018 21:32 UTC |
Whitehouse David RCorp VP, Treasurer
|
GrantStock Appreciation Right · Derivative | 6,700 | $128.16 Strike: $128.16 | $858,672.00 |
DisclosureSEC source: 0001225208-18-000663 · doc4.xml · derivative · entry 6 Whitehouse David R · CIK 0001638500 · Corp VP, Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,700 Underlying: Common Stock · 6,700 shares Expires 2028-01-01 F4 · balance_after: The reporting person was also awarded 1,460 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. Read SEC document |
| January 02, 2018 Filed Jan 4, 2018 21:32 UTC |
Whitehouse David RCorp VP, Treasurer
|
GrantRestricted Stock Units RSU · Derivative | 2,171 | $128.16 | $278,235.36 |
DisclosureSEC source: 0001225208-18-000663 · doc4.xml · derivative · entry 5 Whitehouse David R · CIK 0001638500 · Corp VP, Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,171 Underlying: Common Stock · 2,171 shares Expires not disclosed F3 · 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. F3 · 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. Read SEC document |
| January 02, 2018 Filed Jan 4, 2018 21:32 UTC |
Whitehouse David RCorp VP, Treasurer
|
Exercise / conversionRestricted Stock Units 1/2/15 · Derivative | 2,175 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-000663 · 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 · 2,175 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 2, 2015, the reporting person was granted 2,175 RSUs, which vested on the third anniversary of the grant date. F2 · derivative.expiration_date: On January 2, 2015, the reporting person was granted 2,175 RSUs, which vested on the third anniversary of the grant date. Read SEC document |
| January 02, 2018 Filed Jan 4, 2018 21:32 UTC |
Whitehouse David RCorp VP, Treasurer
|
Tax withholdingCommon Stock | 797 | $128.16 | $102,143.52 |
DisclosureSEC source: 0001225208-18-000663 · doc4.xml · nonDerivative · entry 2 Whitehouse David R · CIK 0001638500 · Corp VP, Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,203 Read SEC document |
| January 02, 2018 Filed Jan 4, 2018 21:32 UTC |
Whitehouse David RCorp VP, Treasurer
|
Exercise / conversionCommon Stock | 2,175 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-000663 · doc4.xml · nonDerivative · entry 1 Whitehouse David R · CIK 0001638500 · Corp VP, Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,000 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 · price: Each restricted stock unit (RSU) represents a contingent right to receive one share of UTC common stock. Read SEC document |
| January 02, 2018 Filed Jan 4, 2018 21:32 UTC |
HAYES GREGORYDirector · Chairman, President and CEO
|
GrantStock Appreciation Right · Derivative | 161,000 | $128.16 Strike: $128.16 | $20,633,760.00 |
DisclosureSEC source: 0001225208-18-000664 · doc4.xml · derivative · entry 6 HAYES GREGORY · CIK 0001225946 · Director · Chairman, President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 161,000 Underlying: Common Stock · 161,000 shares Expires 2028-01-01 F2 · balance_after: The reporting person was also awarded 48,500 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. Read SEC document |
| January 02, 2018 Filed Jan 4, 2018 21:32 UTC |
HAYES GREGORYDirector · Chairman, President and CEO
|
GrantRestricted Stock Units RSU · Derivative | 19,500 | $128.16 | $2,499,120.00 |
DisclosureSEC source: 0001225208-18-000664 · doc4.xml · derivative · entry 5 HAYES GREGORY · CIK 0001225946 · Director · Chairman, President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,500 Underlying: Common Stock · 19,500 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. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.