RTX

SEC source: 0001225208-17-016245 · doc4.xml · derivative · entry 3

Gitlin David L. · CIK 0001631473 · Pres., UTC Aerospace Systems

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,000

Underlying: Common Stock · 34,000 shares

Expires not disclosed

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

F1 · price: Each restricted stock unit (RSU), including dividend equivalents, represents a contingent right to receive one share of UTC Common Stock.

F2 · derivative.exercise_date: The reporting person was awarded 34,000 RSUs, which, with accumuated dividend equivalents, vest on October 11, 2020.

F2 · derivative.expiration_date: The reporting person was awarded 34,000 RSUs, which, with accumuated dividend equivalents, vest on October 11, 2020.

SEC source: 0001225208-20-001427 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,543.6919

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.

SEC source: 0001225208-20-001427 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,542.6919

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.

SEC source: 0001225208-17-012348 · doc4.xml · derivative · entry 3

DELPECH PHILIPPE · CIK 0001652945 · President, Otis Elevator

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 11,574 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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

F2 · derivative.exercise_date: On July 1, 2013, the reporting person was granted 21,110 RSUs, which included the right to receive dividend equivalents. On July 1, 2015, the second anniversary of the grant date, 11,005 RSUs, which included accumulated dividend equivalents, vested. On July 1, 2017, the remaining RSUs, including accumulated dividend equivalents, vested.

F2 · derivative.expiration_date: On July 1, 2013, the reporting person was granted 21,110 RSUs, which included the right to receive dividend equivalents. On July 1, 2015, the second anniversary of the grant date, 11,005 RSUs, which included accumulated dividend equivalents, vested. On July 1, 2017, the remaining RSUs, including accumulated dividend equivalents, vested.

SEC source: 0001225208-17-012348 · doc4.xml · nonDerivative · entry 2

DELPECH PHILIPPE · CIK 0001652945 · President, Otis Elevator

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,635

SEC source: 0001225208-17-012348 · doc4.xml · nonDerivative · entry 1

DELPECH PHILIPPE · CIK 0001652945 · President, Otis Elevator

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,695

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each restricted stock unit (RSU), including dividend equivalents, represents a contingent right to receive one share of UTC Common Stock.

SEC source: 0001225208-17-009148 · doc4.xml · derivative · entry 4

DELPECH PHILIPPE · CIK 0001652945 · President, Otis Elevator

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 25,500 shares

Expires 2023-01-01

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: 0001225208-17-009148 · doc4.xml · nonDerivative · entry 3

DELPECH PHILIPPE · CIK 0001652945 · President, Otis Elevator

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,121

SEC source: 0001225208-17-009148 · doc4.xml · nonDerivative · entry 2

DELPECH PHILIPPE · CIK 0001652945 · President, Otis Elevator

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,925

F2 · price: The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $120.32 to $120.325 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: 0001225208-17-009148 · doc4.xml · nonDerivative · entry 1

DELPECH PHILIPPE · CIK 0001652945 · President, Otis Elevator

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,621

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: 0001225208-17-009149 · 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 · 5,000 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.

SEC source: 0001225208-17-009149 · 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: 0001225208-17-009149 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,702

SEC source: 0001225208-17-009149 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

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: 0001225208-17-009050 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,410

Underlying: Common Stock · 8,410 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU"), including dividend equivalents, represents a contingent right to receive one share of UTC common stock.

F1 · price: Each restricted stock unit ("RSU"), including dividend equivalents, represents a contingent right to receive one share of UTC common stock.

F2 · derivative.exercise_date: The reporting person was awarded 8,410 RSUs, of which 4,205 RSUs plus accumulated dividend equivalents vest on May 1, 2019, and 4,205 RSUs plus accumulated dividend equivalents vest on May 1, 2021.

F2 · derivative.expiration_date: The reporting person was awarded 8,410 RSUs, of which 4,205 RSUs plus accumulated dividend equivalents vest on May 1, 2019, and 4,205 RSUs plus accumulated dividend equivalents vest on May 1, 2021.

SEC source: 0001225208-17-009061 · doc4.xml · derivative · entry 3

MCDONOUGH ROBERT J · CIK 0001123874 · President, UTC CCS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 12,064 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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

F2 · derivative.exercise_date: On May 1, 2013, the reporting person was granted 23,005 RSUs, which included the right to receive dividend equivalents. On May 1, 2015, the second anniversary of the grant date, 11,472 RSUs, which included accumulated dividend equivalents, vested. On May 1, 2017, the remaining RSUs, including accumulated dividend equivalents, vested.

F2 · derivative.expiration_date: On May 1, 2013, the reporting person was granted 23,005 RSUs, which included the right to receive dividend equivalents. On May 1, 2015, the second anniversary of the grant date, 11,472 RSUs, which included accumulated dividend equivalents, vested. On May 1, 2017, the remaining RSUs, including accumulated dividend equivalents, vested.

SEC source: 0001225208-17-009061 · doc4.xml · nonDerivative · entry 2

MCDONOUGH ROBERT J · CIK 0001123874 · President, UTC CCS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,051

SEC source: 0001225208-17-009061 · doc4.xml · nonDerivative · entry 1

MCDONOUGH ROBERT J · CIK 0001123874 · President, UTC CCS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,113

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each restricted stock unit (RSU), including dividend equivalents, represents a contingent right to receive one share of UTC Common Stock.

SEC source: 0001225208-17-008408 · doc4.xml · derivative · entry 1

Austin Lloyd J. III · CIK 0001680876 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,295.146

Underlying: Common Stock · 1,702.2008 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. 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. 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. 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: 0001225208-17-008409 · doc4.xml · derivative · entry 1

Bryant Diane M · CIK 0001687544 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,243.7708

Underlying: Common Stock · 2,837.0014 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. 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. 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. 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: 0001225208-17-008410 · doc4.xml · derivative · entry 1

FARACI JOHN V · CIK 0001189930 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,398.6521

Underlying: Common Stock · 2,794.0165 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. 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. 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. 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: 0001225208-17-008411 · doc4.xml · derivative · entry 3

GARNIER JEAN PIERRE · CIK 0001184175 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,542.3043

Underlying: Common Stock · 2,794.0165 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. 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. 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. 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: 0001225208-17-008412 · doc4.xml · derivative · entry 1

KANGAS EDWARD A · CIK 0001211047 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,468.9159

Underlying: Common Stock · 2,166.4374 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. 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. 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. 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: 0001225208-17-008413 · doc4.xml · derivative · entry 1

Kullman Ellen Jamison · CIK 0001303141 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,211.2994

Underlying: Common Stock · 2,794.0165 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. 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. 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. 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: 0001225208-17-008414 · doc4.xml · derivative · entry 2

LARSEN MARSHALL O · CIK 0001024382 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,749.1229

Underlying: Common Stock · 1,702.2008 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. 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. 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. 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: 0001225208-17-008416 · doc4.xml · derivative · entry 2

MCGRAW HAROLD III · CIK 0001191761 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,699.3648

Underlying: Common Stock · 1,547.4553 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. 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. 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. 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: 0001225208-17-008417 · doc4.xml · derivative · entry 2

Reynolds Fredric G · CIK 0001347950 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,528.1266

Underlying: Common Stock · 1,702.2008 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. 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. 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. 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: 0001225208-17-008419 · doc4.xml · derivative · entry 2

ROGERS BRIAN C · CIK 0001203074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,818.3589

Underlying: Common Stock · 2,579.0922 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. 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. 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. 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: 0001225208-17-008420 · doc4.xml · derivative · entry 2

WHITMAN CHRISTINE TODD · CIK 0001271384 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,236.9023

Underlying: Common Stock · 1,547.4553 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. 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. 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. 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: 0001225208-17-004899 · doc4.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 2,000 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.

SEC source: 0001225208-17-004899 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F2 · price: The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $112.261 to $112.262 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: 0001225208-17-004899 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,022

SEC source: 0001225208-17-004899 · 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: 0001225208-17-003944 · doc4.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 74,500 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: 0001225208-17-003944 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,778

F2 · price: The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $112.00 to $112.14 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: 0001225208-17-003944 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,753

SEC source: 0001225208-17-003944 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 106,278

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: 0001225208-17-003767 · doc4.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9,100 shares

Expires 2018-01-01

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: 0001225208-17-003767 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,327.8277

SEC source: 0001225208-17-003767 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,436.8277

F2 · price: The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $112.02 to $112.022 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: 0001225208-17-003767 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,427.8277

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: 0001225208-17-003768 · doc4.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,600

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.

SEC source: 0001225208-17-003768 · 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

SEC source: 0001225208-17-003768 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,007

F2 · price: The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $112.121 to $112.124 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: 0001225208-17-003768 · 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.

SEC source: 0001225208-17-003390 · doc4.xml · derivative · entry 8

Gitlin David L. · CIK 0001631473 · Pres., UTC Aerospace Systems

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 17,800 shares

Expires 2022-01-02

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001225208-17-003390 · doc4.xml · derivative · entry 7

Gitlin David L. · CIK 0001631473 · Pres., UTC Aerospace Systems

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,500 shares

Expires 2021-01-02

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001225208-17-003390 · doc4.xml · nonDerivative · entry 4

Gitlin David L. · CIK 0001631473 · Pres., UTC Aerospace Systems

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

SEC source: 0001225208-17-003390 · doc4.xml · nonDerivative · entry 3

Gitlin David L. · CIK 0001631473 · Pres., UTC Aerospace Systems

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,332

SEC source: 0001225208-17-003390 · doc4.xml · nonDerivative · entry 2

Gitlin David L. · CIK 0001631473 · Pres., UTC Aerospace Systems

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,300

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.