RTX

SEC source: 0001225208-17-003390 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,800

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: 0001225208-17-002771 · doc4.xml · derivative · entry 9

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 54,500 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: 0001225208-17-002771 · doc4.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,869

F2 · price: The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $110.5701 to $110.705 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: 0001225208-17-002771 · doc4.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 119,319

SEC source: 0001225208-17-002771 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 132,924

SEC source: 0001225208-17-002771 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 146,513

SEC source: 0001225208-17-002771 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 156,369

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: 0001225208-17-002659 · doc4.xml · nonDerivative · entry 1

MCDONOUGH ROBERT J · CIK 0001123874 · President, UTC CCS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,049

F1 · price: The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $111.32 to $111.321 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: 0001225208-17-002660 · doc4.xml · derivative · entry 5

JOHRI AKHIL · CIK 0001517450 · Executive VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,800 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: 0001225208-17-002660 · doc4.xml · nonDerivative · entry 3

JOHRI AKHIL · CIK 0001517450 · Executive VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,300

SEC source: 0001225208-17-002660 · doc4.xml · nonDerivative · entry 2

JOHRI AKHIL · CIK 0001517450 · Executive VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,891

F2 · price: The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $111.412 to $111.42 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: 0001225208-17-002660 · doc4.xml · nonDerivative · entry 1

JOHRI AKHIL · CIK 0001517450 · Executive VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,100

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.

SEC source: 0001225208-17-002661 · doc4.xml · derivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 45,000 shares

Expires 2018-04-08

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

F3 · derivative.exercise_date: 50% of the stock appreciation rights became exercisable on April 9, 2011 and the remaining 50% became exercisable on April 9, 2012.

SEC source: 0001225208-17-002661 · doc4.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,778

SEC source: 0001225208-17-002661 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,893

F2 · price: The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $111.05 to $111.154 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: 0001225208-17-002661 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,222

SEC source: 0001225208-17-002661 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,778

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: 0001225208-17-002662 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,092

Underlying: Common Stock · 10,092 shares

Expires 2022-07-31

F1 · date: On August 1, 2012, the reporting person was granted 100,920 performance stock appreciation rights, 50% of which became exercisable on February 9, 2015 and 50% of which became exercisable on December 31, 2016, in each case subject to and following confirmation of achievement of pre-established business unit earnings, sales and other financial targets. The performance criteria were satisfied at the 20% level for the second 50% of the grant, resulting in the vesting of 10,092 stock appreciation rights and the cancellation of 40,368 stock appreciation rights, both as of February 6, 2017.

F1 · shares: On August 1, 2012, the reporting person was granted 100,920 performance stock appreciation rights, 50% of which became exercisable on February 9, 2015 and 50% of which became exercisable on December 31, 2016, in each case subject to and following confirmation of achievement of pre-established business unit earnings, sales and other financial targets. The performance criteria were satisfied at the 20% level for the second 50% of the grant, resulting in the vesting of 10,092 stock appreciation rights and the cancellation of 40,368 stock appreciation rights, both as of February 6, 2017.

SEC source: 0001225208-17-002663 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,569

Underlying: Common Stock · 7,569 shares

Expires 2022-07-31

F1 · date: On August 1, 2012, the reporting person was granted 75,690 performance stock appreciation rights, 50% of which became exercisable on February 9, 2015 and 50% of which became exercisable on December 31, 2016, in each case subject to and following confirmation of achievement of pre-established business unit earnings, sales and other financial targets. The performance criteria were satisfied at the 20% level for the second 50% of the grant, resulting in the vesting of 7,569 stock appreciation rights and the cancellation of 30,276 stock appreciation rights, both as of February 6, 2017.

F1 · shares: On August 1, 2012, the reporting person was granted 75,690 performance stock appreciation rights, 50% of which became exercisable on February 9, 2015 and 50% of which became exercisable on December 31, 2016, in each case subject to and following confirmation of achievement of pre-established business unit earnings, sales and other financial targets. The performance criteria were satisfied at the 20% level for the second 50% of the grant, resulting in the vesting of 7,569 stock appreciation rights and the cancellation of 30,276 stock appreciation rights, both as of February 6, 2017.

SEC source: 0001225208-17-000714 · doc4.xml · derivative · entry 2

Bryant Diane M · CIK 0001687544 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 902.2828

Underlying: Common Stock · 902.2828 shares

Expires not disclosed

F2 · derivative.exercise_price: Consists of a one-time grant of deferred Restricted Stock Units awarded on the date of election. Vesting occurs over a five year period. Upon retirement or termination from the Board of Directors, all such deferred Restricted Stock Units are settled in shares unless a timely election is made to convert to a fixed interest account.

F2 · derivative.exercise_date: Consists of a one-time grant of deferred Restricted Stock Units awarded on the date of election. Vesting occurs over a five year period. Upon retirement or termination from the Board of Directors, all such deferred Restricted Stock Units are settled in shares unless a timely election is made to convert to a fixed interest account.

F2 · derivative.expiration_date: Consists of a one-time grant of deferred Restricted Stock Units awarded on the date of election. Vesting occurs over a five year period. Upon retirement or termination from the Board of Directors, all such deferred Restricted Stock Units are settled in shares unless a timely election is made to convert to a fixed interest account.

SEC source: 0001225208-17-000714 · doc4.xml · derivative · entry 1

Bryant Diane M · CIK 0001687544 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,398.5383

Underlying: Common Stock · 1,398.5383 shares

Expires not disclosed

F1 · derivative.exercise_price: Consists of Phantom Stock Units acquired by the reporting person in respect of his/her annual retainer for a partial year of service as a non-employee director under a company program that provides for payment of all or a portion of the retainer in deferred stock units. Upon retirement or termination of services on the Board of Directors, all such Phantom Stock Units are payable in cash as a lump sum or in installments, at the election of the director.

F1 · derivative.exercise_date: Consists of Phantom Stock Units acquired by the reporting person in respect of his/her annual retainer for a partial year of service as a non-employee director under a company program that provides for payment of all or a portion of the retainer in deferred stock units. Upon retirement or termination of services on the Board of Directors, all such Phantom Stock Units are payable in cash as a lump sum or in installments, at the election of the director.

F1 · derivative.expiration_date: Consists of Phantom Stock Units acquired by the reporting person in respect of his/her annual retainer for a partial year of service as a non-employee director under a company program that provides for payment of all or a portion of the retainer in deferred stock units. Upon retirement or termination of services on the Board of Directors, all such Phantom Stock Units are payable in cash as a lump sum or in installments, at the election of the director.

SEC source: 0001225208-17-000716 · doc4.xml · derivative · entry 6

Whitehouse David R · CIK 0001638500 · Corp VP, Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,900

Underlying: Common Stock · 6,900 shares

Expires 2027-01-02

F4 · balance_after: The reporting person was also awarded 1,660 performance share units (PSUs) under the UTC Long-Term Incentive Plan. Each PSU has a value equal to one share of UTC Common Stock. These PSUs vest solely upon achievement of pre-established performance targets for UTC's return on invested capital, earnings per share growth and total shareholder return relative to the S&P 500 index over a three-year time period.

SEC source: 0001225208-17-000716 · doc4.xml · derivative · entry 5

Whitehouse David R · CIK 0001638500 · Corp VP, Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,470

Underlying: Common Stock · 2,470 shares

Expires not disclosed

F3 · derivative.exercise_price: Each restricted stock unit (RSU), including dividend equivalents, represents a contingent right to receive one share of UTC Common Stock.

F3 · derivative.expiration_date: Each restricted stock unit (RSU), including dividend equivalents, represents a contingent right to receive one share of UTC Common Stock.

SEC source: 0001225208-17-000716 · doc4.xml · derivative · entry 4

Whitehouse David R · CIK 0001638500 · Corp VP, Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,025 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 represents a contingent right to receive one share of UTC common stock.

F1 · price: Each restricted stock unit represents a contingent right to receive one share of UTC common stock.

F2 · derivative.exercise_date: On January 2, 2014, the reporting person was granted 1,025 restricted stock units (RSUs), which vested on the third anniversary of the grant date.

F2 · derivative.expiration_date: On January 2, 2014, the reporting person was granted 1,025 restricted stock units (RSUs), which vested on the third anniversary of the grant date.

SEC source: 0001225208-17-000716 · doc4.xml · nonDerivative · entry 2

Whitehouse David R · CIK 0001638500 · Corp VP, Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,825

SEC source: 0001225208-17-000716 · doc4.xml · nonDerivative · entry 1

Whitehouse David R · CIK 0001638500 · Corp VP, Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,232

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 represents a contingent right to receive one share of UTC common stock.

SEC source: 0001225208-17-000717 · doc4.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 151,000

Underlying: Common Stock · 151,000 shares

Expires 2027-01-02

F2 · balance_after: The reporting person was also awarded 50,500 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.

SEC source: 0001225208-17-000717 · doc4.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,500

Underlying: Common Stock · 20,500 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 · derivative.expiration_date: Each restricted stock unit (RSU), including dividend equivalents, represents a contingent right to receive one share of UTC Common Stock.

SEC source: 0001225208-17-000718 · doc4.xml · derivative · entry 3

DELPECH PHILIPPE · CIK 0001652945 · President, Otis Elevator

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,400

Underlying: Common Stock · 7,400 shares

Expires not disclosed

F2 · 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.expiration_date: Each restricted stock unit (RSU), including dividend equivalents, represents a contingent right to receive one share of UTC Common Stock.

SEC source: 0001225208-17-000718 · doc4.xml · derivative · entry 2

DELPECH PHILIPPE · CIK 0001652945 · President, Otis Elevator

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,000

Underlying: Common Stock · 55,000 shares

Expires 2027-01-02

F1 · balance_after: The reporting person was also awarded 18,300 performance share units (PSUs) under the UTC Long-Term Incentive Plan. Each PSU has a value equal to one share of UTC Common Stock. These PSUs vest solely upon achievement of pre-established performance targets for UTC's return on invested capital, earnings per share growth and total shareholder return relative to the S&P 500 index over a three-year time period.

SEC source: 0001225208-17-000720 · doc4.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,000

Underlying: Common Stock · 55,000 shares

Expires 2027-01-02

F3 · balance_after: The reporting person was also awarded 18,300 performance share units (PSUs) under the UTC Long-Term Incentive Plan. Each PSU has a value equal to one share of UTC Common Stock. These PSUs vest solely upon achievement of pre-established performance targets for UTC's return on invested capital, earnings per share growth and total shareholder return relative to the S&P 500 index over a three-year time period.

SEC source: 0001225208-17-000720 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,400

Underlying: Common Stock · 7,400 shares

Expires not disclosed

F2 · 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.expiration_date: Each restricted stock unit (RSU), including dividend equivalents, represents a contingent right to receive one share of UTC Common Stock.

SEC source: 0001225208-17-000721 · doc4.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,000

Underlying: Common Stock · 55,000 shares

Expires 2027-01-02

F2 · balance_after: The reporting person was also awarded 18,300 performance share units (PSUs) under the UTC Long-Term Incentive Plan. Each PSU has a value equal to one share of UTC Common Stock. These PSUs vest solely upon achievement of pre-established performance targets for UTC's return on invested capital, earnings per share growth and total shareholder return relative to the S&P 500 index over a three-year time period.

SEC source: 0001225208-17-000721 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,400

Underlying: Common Stock · 7,400 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 · derivative.expiration_date: Each restricted stock unit (RSU), including dividend equivalents, represents a contingent right to receive one share of UTC Common Stock.

SEC source: 0001225208-17-000722 · doc4.xml · derivative · entry 3

MCDONOUGH ROBERT J · CIK 0001123874 · President, UTC CCS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,000

Underlying: Common Stock · 55,000 shares

Expires 2027-01-02

F2 · balance_after: The reporting person was also awarded 18,300 performance share units (PSUs) under the UTC Long-Term Incentive Plan. Each PSU has a value equal to one share of UTC Common Stock. These PSUs vest solely upon achievement of pre-established performance targets for UTC's return on invested capital, earnings per share growth and total shareholder return relative to the S&P 500 index over a three-year time period.

SEC source: 0001225208-17-000722 · doc4.xml · derivative · entry 2

MCDONOUGH ROBERT J · CIK 0001123874 · President, UTC CCS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,400

Underlying: Common Stock · 7,400 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 · derivative.expiration_date: Each restricted stock unit (RSU), including dividend equivalents, represents a contingent right to receive one share of UTC Common Stock.

SEC source: 0001225208-17-000723 · doc4.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,500

Underlying: Common Stock · 41,500 shares

Expires 2027-01-02

F2 · balance_after: The reporting person was also awarded 13,700 performance share units (PSUs) under the UTC Long-Term Incentive Plan. Each PSU has a value equal to one share of UTC Common Stock. These PSUs vest solely upon achievement of pre-established performance targets for UTC's return on invested capital, earnings per share growth and total shareholder return relative to the S&P 500 index over a three-year time period.

SEC source: 0001225208-17-000723 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,500

Underlying: Common Stock · 5,500 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 · derivative.expiration_date: Each restricted stock unit (RSU), including dividend equivalents, represents a contingent right to receive one share of UTC Common Stock.

SEC source: 0001225208-17-000724 · doc4.xml · derivative · entry 4

Dumais Michael R · CIK 0001531769 · SVP, Strategic Planning

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,500

Underlying: Common Stock · 41,500 shares

Expires 2027-01-02

F2 · balance_after: The reporting person was also awarded 13,700 performance share units (PSUs) under the UTC Long-Term Incentive Plan. Each PSU has a value equal to one share of UTC Common Stock. These PSUs vest solely upon achievement of pre-established performance targets for UTC's return on invested capital, earnings per share growth and total shareholder return relative to the S&P 500 index over a three-year time period.

SEC source: 0001225208-17-000724 · doc4.xml · derivative · entry 3

Dumais Michael R · CIK 0001531769 · SVP, Strategic Planning

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,500

Underlying: Common Stock · 5,500 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 · derivative.expiration_date: Each restricted stock unit (RSU), including dividend equivalents, represents a contingent right to receive one share of UTC Common Stock.

SEC source: 0001225208-17-000725 · doc4.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,500

Underlying: Common Stock · 41,500 shares

Expires 2027-01-02

F2 · balance_after: The reporting person was also awarded 13,700 performance share units (PSUs) under the UTC Long-Term Incentive Plan. Each PSU has a value equal to one share of UTC Common Stock. These PSUs vest solely upon achievement of pre-established performance targets for UTC's return on invested capital, earnings per share growth and total shareholder return relative to the S&P 500 index over a three-year time period.

SEC source: 0001225208-17-000725 · doc4.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,500

Underlying: Common Stock · 5,500 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 · derivative.expiration_date: Each restricted stock unit (RSU), including dividend equivalents, represents a contingent right to receive one share of UTC Common Stock.

SEC source: 0001225208-17-000726 · doc4.xml · derivative · entry 4

JOHRI AKHIL · CIK 0001517450 · Executive VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,500

Underlying: Common Stock · 51,500 shares

Expires 2027-01-02

F2 · balance_after: The reporting person was also awarded 17,200 performance share units (PSUs) under the UTC Long-Term Incentive Plan. Each PSU has a value equal to one share of UTC Common Stock. These PSUs vest solely upon achievement of pre-established performance targets for UTC's return on invested capital, earnings per share growth and total shareholder return relative to the S&P 500 index over a three-year time period.

SEC source: 0001225208-17-000726 · doc4.xml · derivative · entry 3

JOHRI AKHIL · CIK 0001517450 · Executive VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,900

Underlying: Common Stock · 6,900 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 · derivative.expiration_date: Each restricted stock unit (RSU), including dividend equivalents, represents a contingent right to receive one share of UTC Common Stock.

SEC source: 0001225208-17-000727 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,700

Underlying: Common Stock · 13,700 shares

Expires 2027-01-02

F2 · balance_after: The reporting person was also awarded 1,660 performance share units (PSUs) under the UTC Long-Term Incentive Plan. Each PSU has a value equal to one share of UTC Common Stock. These PSUs vest solely upon achievement of pre-established performance targets for UTC's return on invested capital, earnings per share growth and total shareholder return relative to the S&P 500 index over a three-year time period.

SEC source: 0001225208-17-000727 · doc4.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,100

Underlying: Common Stock · 1,100 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 · derivative.expiration_date: Each restricted stock unit (RSU), including dividend equivalents, represents a contingent right to receive one share of UTC Common Stock.

SEC source: 0001225208-16-042967 · doc4.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,000

Underlying: Common Stock · 45,000 shares

Expires 2018-04-08

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

F3 · derivative.exercise_date: 50% of the stock appreciation rights became exercisable on April 9, 2011 and the remaining 50% became exercisable on April 9, 2012.

SEC source: 0001225208-16-042967 · 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

SEC source: 0001225208-16-042967 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,982

F2 · price: The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices ranged from $108.950 to $109.092 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: 0001225208-16-042967 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,778

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.