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 |
|---|---|---|---|---|---|---|
| January 02, 2018 Filed Jan 4, 2018 21:32 UTC |
Gitlin David L.Pres., UTC Aerospace Systems
|
GrantStock Appreciation Right · Derivative | 53,500 | $128.16 Strike: $128.16 | $6,856,560.00 |
DisclosureSEC source: 0001225208-18-000665 · doc4.xml · derivative · entry 4 Gitlin David L. · CIK 0001631473 · Pres., UTC Aerospace Systems 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,500 Underlying: Common Stock · 53,500 shares Expires 2028-01-01 F2 · 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 21:32 UTC |
Gitlin David L.Pres., UTC Aerospace Systems
|
GrantRestricted Stock Units RSU · Derivative | 6,500 | $128.16 | $833,040.00 |
DisclosureSEC source: 0001225208-18-000665 · doc4.xml · derivative · entry 3 Gitlin David L. · CIK 0001631473 · Pres., UTC Aerospace Systems 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 21:33 UTC |
LEDUC ROBERT FPresident, Pratt & Whitney
|
GrantStock Appreciation Right · Derivative | 53,500 | $128.16 Strike: $128.16 | $6,856,560.00 |
DisclosureSEC source: 0001225208-18-000666 · doc4.xml · derivative · entry 4 LEDUC ROBERT F · CIK 0001184190 · President, Pratt & Whitney 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,500 Underlying: Common Stock · 53,500 shares Expires 2028-01-01 F2 · 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 21:33 UTC |
LEDUC ROBERT FPresident, Pratt & Whitney
|
GrantRestricted Stock Units RSU · Derivative | 6,500 | $128.16 | $833,040.00 |
DisclosureSEC source: 0001225208-18-000666 · doc4.xml · derivative · entry 3 LEDUC ROBERT F · CIK 0001184190 · President, Pratt & Whitney 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 21:33 UTC |
Marks Judith FranPresident, Otis
|
GrantStock Appreciation Right · Derivative | 53,500 | $128.16 Strike: $128.16 | $6,856,560.00 |
DisclosureSEC source: 0001225208-18-000667 · doc4.xml · derivative · entry 2 Marks Judith Fran · CIK 0001665490 · President, Otis 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,500 Underlying: Common Stock · 53,500 shares Expires 2028-01-01 F2 · 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 21:33 UTC |
Marks Judith FranPresident, Otis
|
GrantRestricted Stock Units RSU · Derivative | 6,500 | $128.16 | $833,040.00 |
DisclosureSEC source: 0001225208-18-000667 · doc4.xml · derivative · entry 1 Marks Judith Fran · CIK 0001665490 · President, Otis 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 21:33 UTC |
MCDONOUGH ROBERT JPresident, UTC CCS
|
GrantStock Appreciation Right · Derivative | 53,500 | $128.16 Strike: $128.16 | $6,856,560.00 |
DisclosureSEC source: 0001225208-18-000668 · doc4.xml · derivative · entry 3 MCDONOUGH ROBERT J · CIK 0001123874 · President, UTC CCS 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,500 Underlying: Common Stock · 53,500 shares Expires 2028-01-01 F2 · 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 21:33 UTC |
MCDONOUGH ROBERT JPresident, UTC CCS
|
GrantRestricted Stock Units RSU · Derivative | 6,500 | $128.16 | $833,040.00 |
DisclosureSEC source: 0001225208-18-000668 · doc4.xml · derivative · entry 2 MCDONOUGH ROBERT J · CIK 0001123874 · President, UTC CCS 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 21:34 UTC |
Amato Elizabeth BEVP & Chief HR Officer
|
GrantStock Appreciation Right · Derivative | 43,500 | $128.16 Strike: $128.16 | $5,574,960.00 |
DisclosureSEC source: 0001225208-18-000669 · doc4.xml · derivative · entry 4 Amato Elizabeth B · CIK 0001555745 · EVP & Chief HR Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,500 Underlying: Common Stock · 43,500 shares Expires 2028-01-01 F2 · balance_after: The reporting person was also awarded 13,100 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 21:34 UTC |
Amato Elizabeth BEVP & Chief HR Officer
|
GrantRestricted Stock Units RSU · Derivative | 5,300 | $128.16 | $679,248.00 |
DisclosureSEC source: 0001225208-18-000669 · doc4.xml · derivative · entry 3 Amato Elizabeth B · CIK 0001555745 · EVP & Chief HR Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,300 Underlying: Common Stock · 5,300 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 21:34 UTC |
Dumais Michael REVP, Operations & Strategy
|
GrantStock Appreciation Right · Derivative | 43,500 | $128.16 Strike: $128.16 | $5,574,960.00 |
DisclosureSEC source: 0001225208-18-000670 · doc4.xml · derivative · entry 4 Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,500 Underlying: Common Stock · 43,500 shares Expires 2028-01-01 F2 · balance_after: The reporting person was also awarded 13,100 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 21:34 UTC |
Dumais Michael REVP, Operations & Strategy
|
GrantRestricted Stock Units RSU · Derivative | 5,300 | $128.16 | $679,248.00 |
DisclosureSEC source: 0001225208-18-000670 · doc4.xml · derivative · entry 3 Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,300 Underlying: Common Stock · 5,300 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 21:35 UTC |
Gill Charles DExecutive VP & General Counsel
|
GrantStock Appreciation Right · Derivative | 43,500 | $128.16 Strike: $128.16 | $5,574,960.00 |
DisclosureSEC source: 0001225208-18-000671 · doc4.xml · derivative · entry 5 Gill Charles D · CIK 0001395028 · Executive VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,500 Underlying: Common Stock · 43,500 shares Expires 2028-01-01 F2 · balance_after: The reporting person was also awarded 13,100 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 21:35 UTC |
Gill Charles DExecutive VP & General Counsel
|
GrantRestricted Stock Units RSU · Derivative | 5,300 | $128.16 | $679,248.00 |
DisclosureSEC source: 0001225208-18-000671 · doc4.xml · derivative · entry 4 Gill Charles D · CIK 0001395028 · Executive VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,300 Underlying: Common Stock · 5,300 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 21:35 UTC |
Bailey Robert J.Corporate VP, Controller
|
GrantStock Appreciation Right · Derivative | 13,400 | $128.16 Strike: $128.16 | $1,717,344.00 |
DisclosureSEC source: 0001225208-18-000672 · doc4.xml · derivative · entry 3 Bailey Robert J. · CIK 0001685251 · Corporate VP, Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,400 Underlying: Common Stock · 13,400 shares Expires 2028-01-01 F2 · 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 21:35 UTC |
Bailey Robert J.Corporate VP, Controller
|
GrantRestricted Stock Units RSU · Derivative | 965 | $128.16 | $123,674.40 |
DisclosureSEC source: 0001225208-18-000672 · doc4.xml · derivative · entry 2 Bailey Robert J. · CIK 0001685251 · Corporate VP, Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 965 Underlying: Common Stock · 965 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 |
| December 15, 2017 Filed Dec 18, 2017 21:33 UTC |
Amato Elizabeth BEVP & Chief HR Officer
|
Exercise / conversionStock Appreciation Right · Derivative | 7,700 | $0.00 Strike: $54.95 | $0.00 |
DisclosureSEC source: 0001225208-17-018786 · doc4.xml · derivative · entry 5 Amato Elizabeth B · CIK 0001555745 · EVP & Chief HR Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,700 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 |
| December 15, 2017 Filed Dec 18, 2017 21:33 UTC |
Amato Elizabeth BEVP & Chief HR Officer
|
SaleCommon Stock | 4,341 | $125.92 | $546,600.49 |
DisclosureSEC source: 0001225208-17-018786 · doc4.xml · nonDerivative · entry 3 Amato Elizabeth B · CIK 0001555745 · EVP & Chief HR Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,422.2957 F2 · price: The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $125.89 to $125.95 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. Read SEC document |
| December 15, 2017 Filed Dec 18, 2017 21:33 UTC |
Amato Elizabeth BEVP & Chief HR Officer
|
Disposition to issuerCommon Stock | 3,359 | $125.95 | $423,066.05 |
DisclosureSEC source: 0001225208-17-018786 · doc4.xml · nonDerivative · entry 2 Amato Elizabeth B · CIK 0001555745 · EVP & Chief HR Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,763.2957 Read SEC document |
| December 15, 2017 Filed Dec 18, 2017 21:33 UTC |
Amato Elizabeth BEVP & Chief HR Officer
|
Exercise / conversionCommon Stock | 7,700 | $54.95 | $423,115.00 |
DisclosureSEC source: 0001225208-17-018786 · doc4.xml · nonDerivative · entry 1 Amato Elizabeth B · CIK 0001555745 · EVP & Chief HR Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,122.2957 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 |
| December 15, 2017 Filed Dec 18, 2017 21:33 UTC |
Bailey Robert J.Corporate VP, Controller
|
Exercise / conversionStock Appreciation Right · Derivative | 2,000 | $0.00 Strike: $71.63 | $0.00 |
DisclosureSEC source: 0001225208-17-018787 · doc4.xml · derivative · entry 5 Bailey Robert J. · CIK 0001685251 · Corporate VP, Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,000 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. Read SEC document |
| December 15, 2017 Filed Dec 18, 2017 21:33 UTC |
Bailey Robert J.Corporate VP, Controller
|
Disposition to issuerCommon Stock | 1,136 | $126.01 | $143,147.36 |
DisclosureSEC source: 0001225208-17-018787 · 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 |
| December 15, 2017 Filed Dec 18, 2017 21:33 UTC |
Bailey Robert J.Corporate VP, Controller
|
SaleCommon Stock | 864 | $126.01 | $108,872.73 |
DisclosureSEC source: 0001225208-17-018787 · doc4.xml · nonDerivative · entry 2 Bailey Robert J. · CIK 0001685251 · Corporate VP, Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,136 Read SEC document |
| December 15, 2017 Filed Dec 18, 2017 21:33 UTC |
Bailey Robert J.Corporate VP, Controller
|
Exercise / conversionCommon Stock | 2,000 | $71.63 | $143,260.00 |
DisclosureSEC source: 0001225208-17-018787 · 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. Read SEC document |
| December 13, 2017 Filed Dec 15, 2017 21:35 UTC |
Bailey Robert J.Corporate VP, Controller
|
Exercise / conversionStock Appreciation Right · Derivative | 1,500 | $0.00 Strike: $71.63 | $0.00 |
DisclosureSEC source: 0001225208-17-018744 · 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 · 1,500 shares Expires 2020-01-03 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| December 13, 2017 Filed Dec 15, 2017 21:35 UTC |
Bailey Robert J.Corporate VP, Controller
|
Disposition to issuerCommon Stock | 864 | $124.35 | $107,438.40 |
DisclosureSEC source: 0001225208-17-018744 · 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 |
| December 13, 2017 Filed Dec 15, 2017 21:35 UTC |
Bailey Robert J.Corporate VP, Controller
|
SaleCommon Stock | 636 | $124.35 | $79,088.06 |
DisclosureSEC source: 0001225208-17-018744 · doc4.xml · nonDerivative · entry 2 Bailey Robert J. · CIK 0001685251 · Corporate VP, Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 864 Read SEC document |
| December 13, 2017 Filed Dec 15, 2017 21:35 UTC |
Bailey Robert J.Corporate VP, Controller
|
Exercise / conversionCommon Stock | 1,500 | $71.63 | $107,445.00 |
DisclosureSEC source: 0001225208-17-018744 · doc4.xml · nonDerivative · entry 1 Bailey Robert J. · CIK 0001685251 · Corporate VP, Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,500 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 |
| December 12, 2017 Filed Jan 31, 2020 22:53 UTC |
Amato Elizabeth BEVP & Chief HR Officer
|
PurchaseCommon Stock | 44 | $123.53 | $5,435.32 |
DisclosureSEC source: 0001225208-20-001427 · doc4.xml · nonDerivative · entry 3 Amato Elizabeth B · CIK 0001555745 · EVP & Chief HR Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,516.2957 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 |
| December 07, 2017 Filed Dec 11, 2017 21:34 UTC |
Bailey Robert J.Corporate VP, Controller
|
Exercise / conversionStock Appreciation Right · Derivative | 2,000 | $0.00 Strike: $71.63 | $0.00 |
DisclosureSEC source: 0001225208-17-018481 · doc4.xml · derivative · entry 5 Bailey Robert J. · CIK 0001685251 · Corporate VP, Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,500 Underlying: Common Stock · 2,000 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. Read SEC document |
| December 07, 2017 Filed Dec 11, 2017 21:34 UTC |
Bailey Robert J.Corporate VP, Controller
|
Disposition to issuerCommon Stock | 1,167 | $122.67 | $143,155.89 |
DisclosureSEC source: 0001225208-17-018481 · 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 |
| December 07, 2017 Filed Dec 11, 2017 21:34 UTC |
Bailey Robert J.Corporate VP, Controller
|
SaleCommon Stock | 833 | $122.66 | $102,175.78 |
DisclosureSEC source: 0001225208-17-018481 · doc4.xml · nonDerivative · entry 2 Bailey Robert J. · CIK 0001685251 · Corporate VP, Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,167 Read SEC document |
| December 07, 2017 Filed Dec 11, 2017 21:34 UTC |
Bailey Robert J.Corporate VP, Controller
|
Exercise / conversionCommon Stock | 2,000 | $71.63 | $143,260.00 |
DisclosureSEC source: 0001225208-17-018481 · 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. Read SEC document |
| December 01, 2017 Filed Dec 4, 2017 21:35 UTC |
JOHRI AKHILExecutive VP and CFO
|
Exercise / conversionStock Appreciation Right · Derivative | 10,950 | $0.00 Strike: $54.95 | $0.00 |
DisclosureSEC source: 0001225208-17-018091 · doc4.xml · derivative · entry 5 JOHRI AKHIL · CIK 0001517450 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,950 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. Read SEC document |
| December 01, 2017 Filed Dec 4, 2017 21:35 UTC |
JOHRI AKHILExecutive VP and CFO
|
SaleCommon Stock | 5,979 | $121.03 | $723,638.97 |
DisclosureSEC source: 0001225208-17-018091 · doc4.xml · nonDerivative · entry 3 JOHRI AKHIL · CIK 0001517450 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,345 Read SEC document |
| December 01, 2017 Filed Dec 4, 2017 21:35 UTC |
JOHRI AKHILExecutive VP and CFO
|
Disposition to issuerCommon Stock | 4,971 | $121.03 | $601,640.13 |
DisclosureSEC source: 0001225208-17-018091 · doc4.xml · nonDerivative · entry 2 JOHRI AKHIL · CIK 0001517450 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,324 Read SEC document |
| December 01, 2017 Filed Dec 4, 2017 21:35 UTC |
JOHRI AKHILExecutive VP and CFO
|
Exercise / conversionCommon Stock | 10,950 | $54.95 | $601,702.50 |
DisclosureSEC source: 0001225208-17-018091 · doc4.xml · nonDerivative · entry 1 JOHRI AKHIL · CIK 0001517450 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,295 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 |
| November 29, 2017 Filed Dec 1, 2017 21:34 UTC |
Bailey Robert J.Corporate VP, Controller
|
Exercise / conversionStock Appreciation Right · Derivative | 2,100 | $0.00 Strike: $71.63 | $0.00 |
DisclosureSEC source: 0001225208-17-017982 · doc4.xml · derivative · entry 5 Bailey Robert J. · CIK 0001685251 · Corporate VP, Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,500 Underlying: Common Stock · 2,100 shares Expires 2020-01-03 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 29, 2017 Filed Dec 1, 2017 21:34 UTC |
Bailey Robert J.Corporate VP, Controller
|
Disposition to issuerCommon Stock | 1,273 | $118.08 | $150,315.84 |
DisclosureSEC source: 0001225208-17-017982 · 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 |
| November 29, 2017 Filed Dec 1, 2017 21:34 UTC |
Bailey Robert J.Corporate VP, Controller
|
SaleCommon Stock | 827 | $118.06 | $97,635.29 |
DisclosureSEC source: 0001225208-17-017982 · doc4.xml · nonDerivative · entry 2 Bailey Robert J. · CIK 0001685251 · Corporate VP, Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,273 Read SEC document |
| November 29, 2017 Filed Dec 1, 2017 21:34 UTC |
Bailey Robert J.Corporate VP, Controller
|
Exercise / conversionCommon Stock | 2,100 | $71.63 | $150,423.00 |
DisclosureSEC source: 0001225208-17-017982 · doc4.xml · nonDerivative · entry 1 Bailey Robert J. · CIK 0001685251 · Corporate VP, Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,100 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 |
| November 07, 2017 Filed Nov 17, 2017 21:34 UTC |
Amato Elizabeth BEVP & Chief HR Officer
|
GiftCommon Stock | 125 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-017467 · doc4.xml · nonDerivative · entry 1 Amato Elizabeth B · CIK 0001555745 · EVP & Chief HR Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,368.6919 Read SEC document |
| November 03, 2017 Filed Nov 7, 2017 21:33 UTC |
Dumais Michael REVP, Operations & Strategy
|
Exercise / conversionStock Appreciation Right · Derivative | 8,600 | $0.00 Strike: $78.99 | $0.00 |
DisclosureSEC source: 0001225208-17-017044 · doc4.xml · derivative · entry 5 Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 8,600 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 |
| November 03, 2017 Filed Nov 7, 2017 21:33 UTC |
Dumais Michael REVP, Operations & Strategy
|
Disposition to issuerCommon Stock | 5,614 | $121.00 | $679,294.00 |
DisclosureSEC source: 0001225208-17-017044 · doc4.xml · nonDerivative · entry 3 Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,948 Read SEC document |
| November 03, 2017 Filed Nov 7, 2017 21:33 UTC |
Dumais Michael REVP, Operations & Strategy
|
SaleCommon Stock | 2,986 | $120.98 | $361,249.27 |
DisclosureSEC source: 0001225208-17-017044 · doc4.xml · nonDerivative · entry 2 Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,562 Read SEC document |
| November 03, 2017 Filed Nov 7, 2017 21:33 UTC |
Dumais Michael REVP, Operations & Strategy
|
Exercise / conversionCommon Stock | 8,600 | $78.99 | $679,314.00 |
DisclosureSEC source: 0001225208-17-017044 · doc4.xml · nonDerivative · entry 1 Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,548 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 |
| November 01, 2017 Filed Nov 3, 2017 20:32 UTC |
O'Sullivan Margaret L.Director
|
GrantRestricted Stock Units · Derivative | 832.5008 | $120.12 | $100,000.00 |
DisclosureSEC source: 0001225208-17-016940 · doc4.xml · derivative · entry 2 O'Sullivan Margaret L. · CIK 0001721120 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 832.5008 Underlying: Common Stock · 832.5008 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 2016 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 2016 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 2016 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. Read SEC document |
| November 01, 2017 Filed Nov 3, 2017 20:32 UTC |
O'Sullivan Margaret L.Director
|
GrantPhantom Stock Unit · Derivative | 1,373.6264 | $120.12 | $165,000.00 |
DisclosureSEC source: 0001225208-17-016940 · doc4.xml · derivative · entry 1 O'Sullivan Margaret L. · CIK 0001721120 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,373.6264 Underlying: Common Stock · 1,373.6264 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 2016 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 2016 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 2016 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. Read SEC document |
| November 01, 2017 Filed Nov 3, 2017 20:33 UTC |
Marks Judith FranPresident, Otis
|
GrantRestricted Stock Units RSU · Derivative | 8,330 | $120.12 | $1,000,599.60 |
DisclosureSEC source: 0001225208-17-016941 · doc4.xml · derivative · entry 2 Marks Judith Fran · CIK 0001665490 · President, Otis 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,330 Underlying: Common Stock · 8,330 shares Expires not disclosed F2 · derivative.exercise_price: Each Restricted Stock Unit (RSU), including accumulated dividend equivalents, represents a contingent right to receive one share of UTC common stock. F2 · derivative.expiration_date: Each Restricted Stock Unit (RSU), including accumulated dividend equivalents, represents a contingent right to receive one share of UTC common stock. Read SEC document |
| November 01, 2017 Filed Nov 3, 2017 20:33 UTC |
Marks Judith FranPresident, Otis
|
GrantRestricted Stock Units · Derivative | 16,660 | $120.12 | $2,001,199.20 |
DisclosureSEC source: 0001225208-17-016941 · doc4.xml · derivative · entry 1 Marks Judith Fran · CIK 0001665490 · President, Otis 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,660 Underlying: Common Stock · 16,660 shares Expires not disclosed F1 · derivative.exercise_price: The RSUs were awarded in connection with the reporting person's membership in UTC's Executive Leadership Group. Following three years of ELG service, each RSU, including accumulated dividend equivalents, represents a right to receive one share of UTC common stock upon a Qualifying Separation from UTC (as defined in Exhibit 10.6 of UTC's 2016 Form 10-K). F1 · derivative.exercise_date: The RSUs were awarded in connection with the reporting person's membership in UTC's Executive Leadership Group. Following three years of ELG service, each RSU, including accumulated dividend equivalents, represents a right to receive one share of UTC common stock upon a Qualifying Separation from UTC (as defined in Exhibit 10.6 of UTC's 2016 Form 10-K). F1 · derivative.expiration_date: The RSUs were awarded in connection with the reporting person's membership in UTC's Executive Leadership Group. Following three years of ELG service, each RSU, including accumulated dividend equivalents, represents a right to receive one share of UTC common stock upon a Qualifying Separation from UTC (as defined in Exhibit 10.6 of UTC's 2016 Form 10-K). 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.