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 |
|---|---|---|---|---|---|---|
| December 07, 2016 Filed Dec 9, 2016 22:02 UTC |
ROGERS BRIAN CDirector
|
PurchaseCommon Stock | 5,000 | $107.94 | $539,684.00 |
DisclosureSEC source: 0001225208-16-042968 · doc4.xml · nonDerivative · entry 1 ROGERS BRIAN C · CIK 0001203074 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,000 F1 · price: The price reported in Column 4 is a weighted average price for shares purchased in multiple transactions. The purchase prices ranged from $107.9365 to $107.9382 per share. The reporting person has provided to the issuer, and undertakes to provide to the Commission staff or a security holder of the issuer, upon request, full information regarding the number of shares purchased at each separate price within the range. Read SEC document |
| November 29, 2016 Filed Dec 1, 2016 22:02 UTC |
JOHRI AKHILExecutive VP and CFO
|
Exercise / conversionStock Appreciation Right · Derivative | 6,800 | $0.00 Strike: $75.21 | $0.00 |
DisclosureSEC source: 0001225208-16-042524 · doc4.xml · derivative · entry 5 JOHRI AKHIL · CIK 0001517450 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,800 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. Read SEC document |
| November 29, 2016 Filed Dec 1, 2016 22:02 UTC |
JOHRI AKHILExecutive VP and CFO
|
Disposition to issuerCommon Stock | 4,691 | $109.02 | $511,412.82 |
DisclosureSEC source: 0001225208-16-042524 · 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 Read SEC document |
| November 29, 2016 Filed Dec 1, 2016 22:02 UTC |
JOHRI AKHILExecutive VP and CFO
|
SaleCommon Stock | 2,109 | $109.02 | $229,922.97 |
DisclosureSEC source: 0001225208-16-042524 · doc4.xml · nonDerivative · entry 2 JOHRI AKHIL · CIK 0001517450 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,991 F2 · price: The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices ranged from $109.015 to $109.021 per share. Upon request, the reporting person will provide to the Commission staff, the issuer, or a security holder of the issuer full information regarding the number of shares sold at each separate price. Read SEC document |
| November 29, 2016 Filed Dec 1, 2016 22:02 UTC |
JOHRI AKHILExecutive VP and CFO
|
Exercise / conversionCommon Stock | 6,800 | $75.21 | $511,428.00 |
DisclosureSEC source: 0001225208-16-042524 · 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. Read SEC document |
| November 14, 2016 Filed Nov 16, 2016 22:03 UTC |
HAYES GREGORYDirector · Chairman, President and CEO
|
Exercise / conversionStock Appreciation Right · Derivative | 90,000 | $0.00 Strike: $70.81 | $0.00 |
DisclosureSEC source: 0001225208-16-041869 · 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 · 90,000 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. Read SEC document |
| November 14, 2016 Filed Nov 16, 2016 22:03 UTC |
HAYES GREGORYDirector · Chairman, President and CEO
|
Disposition to issuerCommon Stock | 29,260 | $108.90 | $3,186,414.00 |
DisclosureSEC source: 0001225208-16-041869 · 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 Read SEC document |
| November 14, 2016 Filed Nov 16, 2016 22:03 UTC |
HAYES GREGORYDirector · Chairman, President and CEO
|
Disposition to issuerCommon Stock | 29,252 | $108.93 | $3,186,420.36 |
DisclosureSEC source: 0001225208-16-041869 · doc4.xml · nonDerivative · entry 4 HAYES GREGORY · CIK 0001225946 · Director · Chairman, President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 131,129 Read SEC document |
| November 14, 2016 Filed Nov 16, 2016 22:03 UTC |
HAYES GREGORYDirector · Chairman, President and CEO
|
SaleCommon Stock | 15,748 | $108.89 | $1,714,862.71 |
DisclosureSEC source: 0001225208-16-041869 · doc4.xml · nonDerivative · entry 3 HAYES GREGORY · CIK 0001225946 · Director · Chairman, President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 160,381 F2 · price: The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices ranged from $108.87 to $108.95 per share. Upon request, the reporting person will provide to the Commission staff, the issuer, or a security holder of the issuer full information regarding the number of shares sold at each separate price. Read SEC document |
| November 14, 2016 Filed Nov 16, 2016 22:03 UTC |
HAYES GREGORYDirector · Chairman, President and CEO
|
Disposition to issuerCommon Stock | 7,696 | $108.91 | $838,171.36 |
DisclosureSEC source: 0001225208-16-041869 · doc4.xml · nonDerivative · entry 2 HAYES GREGORY · CIK 0001225946 · Director · Chairman, President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 176,129 Read SEC document |
| November 14, 2016 Filed Nov 16, 2016 22:03 UTC |
HAYES GREGORYDirector · Chairman, President and CEO
|
Exercise / conversionCommon Stock | 90,000 | $70.81 | $6,372,900.00 |
DisclosureSEC source: 0001225208-16-041869 · doc4.xml · nonDerivative · entry 1 HAYES GREGORY · CIK 0001225946 · Director · Chairman, President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 183,825 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 10, 2016 Filed Nov 14, 2016 22:33 UTC |
Bailey Robert J.Corporate VP, Controller
|
Exercise / conversionStock Appreciation Right · Derivative | 2,000 | $0.00 Strike: $54.95 | $0.00 |
DisclosureSEC source: 0001225208-16-041692 · doc4.xml · derivative · entry 5 Bailey Robert J. · CIK 0001685251 · Corporate VP, Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,000 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. Read SEC document |
| November 10, 2016 Filed Nov 14, 2016 22:33 UTC |
Bailey Robert J.Corporate VP, Controller
|
Disposition to issuerCommon Stock | 1,033 | $106.36 | $109,869.88 |
DisclosureSEC source: 0001225208-16-041692 · 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 10, 2016 Filed Nov 14, 2016 22:33 UTC |
Bailey Robert J.Corporate VP, Controller
|
SaleCommon Stock | 967 | $106.46 | $102,946.34 |
DisclosureSEC source: 0001225208-16-041692 · doc4.xml · nonDerivative · entry 2 Bailey Robert J. · CIK 0001685251 · Corporate VP, Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,033 F2 · price: The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices ranged from $106.443 to $106.475 per share. Upon request, the reporting person will provide to the Commission staff, the issuer, or a security holder of the issuer full information regarding the number of shares sold at each separate price. Read SEC document |
| November 10, 2016 Filed Nov 14, 2016 22:33 UTC |
Bailey Robert J.Corporate VP, Controller
|
Exercise / conversionCommon Stock | 2,000 | $54.95 | $109,900.00 |
DisclosureSEC source: 0001225208-16-041692 · 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 |
| September 02, 2016 Filed Sep 7, 2016 21:04 UTC |
Mitchill Neil G. JRCorp VP, Controller
|
Exercise / conversionRestricted Stock Units RSU · Derivative | 1,441 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-038979 · doc4.xml · derivative · entry 4 Mitchill Neil G. JR · CIK 0001633746 · Corp VP, Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,440 Underlying: Common Stock · 1,441 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: Restricted stock units (RSUs), including dividend equivalent rights, convert into UTC common stock on a one-for-one basis. F1 · price: Restricted stock units (RSUs), including dividend equivalent rights, convert into UTC common stock on a one-for-one basis. F2 · derivative.exercise_date: On September 2, 2014, the reporting person was granted 2,760 restricted stock units (RSUs), which included the right to receive dividend equivalents when dividends are paid on UTC's common stock. On the second anniversary of the grant date, September 2, 2016, 1,441 RSUs, which included accumulated dividend equivalents, vested and were converted to common stock. F2 · derivative.expiration_date: On September 2, 2014, the reporting person was granted 2,760 restricted stock units (RSUs), which included the right to receive dividend equivalents when dividends are paid on UTC's common stock. On the second anniversary of the grant date, September 2, 2016, 1,441 RSUs, which included accumulated dividend equivalents, vested and were converted to common stock. Read SEC document |
| September 02, 2016 Filed Sep 7, 2016 21:04 UTC |
Mitchill Neil G. JRCorp VP, Controller
|
Tax withholdingCommon Stock | 495 | $106.93 | $52,930.35 |
DisclosureSEC source: 0001225208-16-038979 · doc4.xml · nonDerivative · entry 2 Mitchill Neil G. JR · CIK 0001633746 · Corp VP, Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 946 Read SEC document |
| September 02, 2016 Filed Sep 7, 2016 21:04 UTC |
Mitchill Neil G. JRCorp VP, Controller
|
Exercise / conversionCommon Stock | 1,441 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-038979 · doc4.xml · nonDerivative · entry 1 Mitchill Neil G. JR · CIK 0001633746 · Corp VP, Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,441 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: Restricted stock units (RSUs), including dividend equivalent rights, convert into UTC common stock on a one-for-one basis. Read SEC document |
| September 01, 2016 Filed Sep 2, 2016 21:04 UTC |
Austin Lloyd J. IIIDirector
|
GrantRestricted Stock Units · Derivative | 937.0315 | $106.72 | $100,000.00 |
DisclosureSEC source: 0001225208-16-038774 · doc4.xml · derivative · entry 2 Austin Lloyd J. III · CIK 0001680876 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 937.0315 Underlying: Common Stock · 937.0315 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 termination of services on the Board of Directors, all such deferred Restricted Stock Units are settled in shares unless a timely election is made to convert to 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 termination of services on the Board of Directors, all such deferred Restricted Stock Units are settled in shares unless a timely election is made to convert to 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 termination of services on the Board of Directors, all such deferred Restricted Stock Units are settled in shares unless a timely election is made to convert to fixed interest account. Read SEC document |
| September 01, 2016 Filed Sep 2, 2016 21:04 UTC |
Austin Lloyd J. IIIDirector
|
GrantPhantom Stock Unit · Derivative | 1,574.2129 | $106.72 | $168,000.00 |
DisclosureSEC source: 0001225208-16-038774 · doc4.xml · derivative · entry 1 Austin Lloyd J. III · CIK 0001680876 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,574.2129 Underlying: Common Stock · 1,574.2129 shares Expires not disclosed F1 · derivative.exercise_price: Consists of Phantom Stock Units acquired by the reporting person under the United Technologies Corporation Board of Directors Deferred Stock Unit Plan in respect of his/her annual retainer for services as a non-employee Director. The Plan provides for payment of all or a portion of the retainer in deferred stock units. Upon termination of service as a member of the Board of Directors, the non-employee Director will be entitled to receive a number of shares of Common Stock of United Technologies Corporation equal to the balance of Phantom Stock Units then held in his/her account under the Plan, distributed either as a lump sum or in installments, as previously elected pursuant to the Plan. F1 · derivative.exercise_date: Consists of Phantom Stock Units acquired by the reporting person under the United Technologies Corporation Board of Directors Deferred Stock Unit Plan in respect of his/her annual retainer for services as a non-employee Director. The Plan provides for payment of all or a portion of the retainer in deferred stock units. Upon termination of service as a member of the Board of Directors, the non-employee Director will be entitled to receive a number of shares of Common Stock of United Technologies Corporation equal to the balance of Phantom Stock Units then held in his/her account under the Plan, distributed either as a lump sum or in installments, as previously elected pursuant to the Plan. F1 · derivative.expiration_date: Consists of Phantom Stock Units acquired by the reporting person under the United Technologies Corporation Board of Directors Deferred Stock Unit Plan in respect of his/her annual retainer for services as a non-employee Director. The Plan provides for payment of all or a portion of the retainer in deferred stock units. Upon termination of service as a member of the Board of Directors, the non-employee Director will be entitled to receive a number of shares of Common Stock of United Technologies Corporation equal to the balance of Phantom Stock Units then held in his/her account under the Plan, distributed either as a lump sum or in installments, as previously elected pursuant to the Plan. Read SEC document |
| August 11, 2016 Filed Aug 12, 2016 21:03 UTC |
Gill Charles DExecutive VP & General Counsel
|
Exercise / conversionStock Appreciation Right · Derivative | 20,000 | $0.00 Strike: $75.21 | $0.00 |
DisclosureSEC source: 0001225208-16-037822 · 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 · 20,000 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. Read SEC document |
| August 11, 2016 Filed Aug 12, 2016 21:03 UTC |
Gill Charles DExecutive VP & General Counsel
|
Disposition to issuerCommon Stock | 13,798 | $109.01 | $1,504,119.98 |
DisclosureSEC source: 0001225208-16-037822 · 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 Read SEC document |
| August 11, 2016 Filed Aug 12, 2016 21:03 UTC |
Gill Charles DExecutive VP & General Counsel
|
SaleCommon Stock | 6,202 | $109.00 | $676,031.64 |
DisclosureSEC source: 0001225208-16-037822 · doc4.xml · nonDerivative · entry 2 Gill Charles D · CIK 0001395028 · Executive VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,576 F2 · price: The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices ranged from $109.00 to $109.013 per share. Upon request, the reporting person will provide to the Commission staff, the issuer, or a security holder of the issuer full information regarding the number of shares sold at each separate price. Read SEC document |
| August 11, 2016 Filed Aug 12, 2016 21:03 UTC |
Gill Charles DExecutive VP & General Counsel
|
Exercise / conversionCommon Stock | 20,000 | $75.21 | $1,504,200.00 |
DisclosureSEC source: 0001225208-16-037822 · doc4.xml · nonDerivative · entry 1 Gill Charles D · CIK 0001395028 · Executive VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,778 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. Read SEC document |
| August 05, 2016 Filed Aug 9, 2016 21:02 UTC |
Dumais Michael RSVP, Strategic Planning
|
Exercise / conversionStock Appreciation Right · Derivative | 7,100 | $0.00 Strike: $71.63 | $0.00 |
DisclosureSEC source: 0001225208-16-037653 · doc4.xml · derivative · entry 5 Dumais Michael R · CIK 0001531769 · SVP, Strategic Planning 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,100 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. 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 |
| August 05, 2016 Filed Aug 9, 2016 21:02 UTC |
Dumais Michael RSVP, Strategic Planning
|
Disposition to issuerCommon Stock | 4,751 | $107.04 | $508,547.04 |
DisclosureSEC source: 0001225208-16-037653 · doc4.xml · nonDerivative · entry 3 Dumais Michael R · CIK 0001531769 · SVP, Strategic Planning 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,948 Read SEC document |
| August 05, 2016 Filed Aug 9, 2016 21:02 UTC |
Dumais Michael RSVP, Strategic Planning
|
SaleCommon Stock | 2,349 | $107.05 | $251,460.45 |
DisclosureSEC source: 0001225208-16-037653 · doc4.xml · nonDerivative · entry 2 Dumais Michael R · CIK 0001531769 · SVP, Strategic Planning 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,699 Read SEC document |
| August 05, 2016 Filed Aug 9, 2016 21:02 UTC |
Dumais Michael RSVP, Strategic Planning
|
Exercise / conversionCommon Stock | 7,100 | $71.63 | $508,573.00 |
DisclosureSEC source: 0001225208-16-037653 · doc4.xml · nonDerivative · entry 1 Dumais Michael R · CIK 0001531769 · SVP, Strategic Planning 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,048 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 |
| July 28, 2016 Filed Jul 29, 2016 21:04 UTC |
MCDONOUGH ROBERT JPresident, UTC CCS
|
SaleCommon Stock | 3,100 | $107.11 | $332,032.94 |
DisclosureSEC source: 0001225208-16-037156 · doc4.xml · nonDerivative · entry 1 MCDONOUGH ROBERT J · CIK 0001123874 · President, UTC CCS 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,349 F1 · price: The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices ranged from $107.105 to $107.108 per share. Upon request, the reporting person will provide to the Commission staff, the issuer, or a security holder of the issuer full information regarding the number of shares sold at each separate price. Read SEC document |
| July 28, 2016 Filed Aug 1, 2016 21:04 UTC |
DELPECH PHILIPPEPresident, Otis Elevator
|
Exercise / conversionNon-Qualified Stock Option (right to buy) · Derivative | 10,100 | $0.00 Strike: $71.63 | $0.00 |
DisclosureSEC source: 0001225208-16-037256 · doc4.xml · derivative · entry 7 DELPECH PHILIPPE · CIK 0001652945 · President, Otis Elevator 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,100 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 |
| July 28, 2016 Filed Aug 1, 2016 21:04 UTC |
DELPECH PHILIPPEPresident, Otis Elevator
|
Exercise / conversionNon-Qualified Stock Option (right to buy) · Derivative | 18,400 | $0.00 Strike: $74.66 | $0.00 |
DisclosureSEC source: 0001225208-16-037256 · doc4.xml · derivative · entry 6 DELPECH PHILIPPE · CIK 0001652945 · President, Otis Elevator 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 18,400 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. Read SEC document |
| July 28, 2016 Filed Aug 1, 2016 21:04 UTC |
DELPECH PHILIPPEPresident, Otis Elevator
|
Exercise / conversionNon-Qualified Stock Option (right to buy) · Derivative | 12,300 | $0.00 Strike: $78.99 | $0.00 |
DisclosureSEC source: 0001225208-16-037256 · doc4.xml · derivative · entry 5 DELPECH PHILIPPE · CIK 0001652945 · President, Otis Elevator 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 12,300 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 |
| July 28, 2016 Filed Aug 1, 2016 21:04 UTC |
DELPECH PHILIPPEPresident, Otis Elevator
|
SaleCommon Stock | 40,800 | $107.72 | $4,395,065.76 |
DisclosureSEC source: 0001225208-16-037256 · doc4.xml · nonDerivative · entry 4 DELPECH PHILIPPE · CIK 0001652945 · President, Otis Elevator 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,121 F1 · price: The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices ranged from $107.645 to $107.810 per share. Upon request, the reporting person will provide to the Commission staff, the issuer, or a security holder of the issuer full information regarding the number of shares sold at each separate price. Read SEC document |
| July 28, 2016 Filed Aug 1, 2016 21:04 UTC |
DELPECH PHILIPPEPresident, Otis Elevator
|
Exercise / conversionCommon Stock | 10,100 | $71.63 | $723,463.00 |
DisclosureSEC source: 0001225208-16-037256 · doc4.xml · nonDerivative · entry 3 DELPECH PHILIPPE · CIK 0001652945 · President, Otis Elevator 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 78,921 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 |
| July 28, 2016 Filed Aug 1, 2016 21:04 UTC |
DELPECH PHILIPPEPresident, Otis Elevator
|
Exercise / conversionCommon Stock | 12,300 | $78.99 | $971,577.00 |
DisclosureSEC source: 0001225208-16-037256 · doc4.xml · nonDerivative · entry 2 DELPECH PHILIPPE · CIK 0001652945 · President, Otis Elevator 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,821 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 |
| July 28, 2016 Filed Aug 1, 2016 21:04 UTC |
DELPECH PHILIPPEPresident, Otis Elevator
|
Exercise / conversionCommon Stock | 18,400 | $74.66 | $1,373,744.00 |
DisclosureSEC source: 0001225208-16-037256 · doc4.xml · nonDerivative · entry 1 DELPECH PHILIPPE · CIK 0001652945 · President, Otis Elevator 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,521 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 |
| July 27, 2016 Filed Jul 29, 2016 21:03 UTC |
Gill Charles DExecutive VP & General Counsel
|
Exercise / conversionStock Appreciation Right · Derivative | 23,500 | $0.00 Strike: $75.21 | $0.00 |
DisclosureSEC source: 0001225208-16-037155 · doc4.xml · derivative · entry 6 Gill Charles D · CIK 0001395028 · Executive VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 23,500 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. Read SEC document |
| July 27, 2016 Filed Jul 29, 2016 21:03 UTC |
Gill Charles DExecutive VP & General Counsel
|
Disposition to issuerCommon Stock | 16,356 | $108.06 | $1,767,429.36 |
DisclosureSEC source: 0001225208-16-037155 · 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 Read SEC document |
| July 27, 2016 Filed Jul 29, 2016 21:03 UTC |
Gill Charles DExecutive VP & General Counsel
|
SaleCommon Stock | 7,144 | $108.05 | $771,909.91 |
DisclosureSEC source: 0001225208-16-037155 · doc4.xml · nonDerivative · entry 2 Gill Charles D · CIK 0001395028 · Executive VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,134 F2 · price: The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices ranged from $108.05 to $108.06 per share. Upon request, the reporting person will provide to the Commission staff, the issuer, or a security holder of the issuer full information regarding the number of shares sold at each separate price. Read SEC document |
| July 27, 2016 Filed Jul 29, 2016 21:03 UTC |
Gill Charles DExecutive VP & General Counsel
|
Exercise / conversionCommon Stock | 23,500 | $75.21 | $1,767,435.00 |
DisclosureSEC source: 0001225208-16-037155 · doc4.xml · nonDerivative · entry 1 Gill Charles D · CIK 0001395028 · Executive VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,278 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 the 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 |
| June 10, 2016 Filed Jun 14, 2016 21:03 UTC |
Whitehouse David RCorp VP, Treasurer
|
Exercise / conversionDividend Equivalent Rights · Derivative | 11 | $100.35 | $1,103.85 |
DisclosureSEC source: 0001225208-16-035050 · doc4.xml · derivative · entry 5 Whitehouse David R · CIK 0001638500 · Corp VP, Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 11 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: Restricted stock units (RSUs), including dividend equivalent rights, convert into UTC common stock on a one-for-one basis. F2 · date: On June 1, 2012, the reporting person was granted 1,527 restricted stock units (RSUs), which included the right to receive dividend equivalents, when quarterly dividends are paid on UTC's common stock. On the fourth anniversary of the grant date, June 1, 2016, 1,674 RSUs, which included accumulated dividend equivalents, were converted into common stock. That transaction was reported on June 3, 2016. Those previously awarded RSUs were entitled to an additional 11 dividend equivalents that were not payable until June 10, 2016. F3 · derivative.exercise_date: The dividend equivalent rights vested on June 1, 2016, yet were not payable until June 10, 2016. F3 · derivative.expiration_date: The dividend equivalent rights vested on June 1, 2016, yet were not payable until June 10, 2016. Read SEC document |
| June 10, 2016 Filed Jun 14, 2016 21:03 UTC |
Whitehouse David RCorp VP, Treasurer
|
GrantDividend Equivalent Rights · Derivative | 11 | $100.35 | $1,103.85 |
DisclosureSEC source: 0001225208-16-035050 · doc4.xml · derivative · entry 4 Whitehouse David R · CIK 0001638500 · Corp VP, Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11 Underlying: Common Stock · 11 shares Expires not disclosed F1 · derivative.exercise_price: Restricted stock units (RSUs), including dividend equivalent rights, convert into UTC common stock on a one-for-one basis. F2 · date: On June 1, 2012, the reporting person was granted 1,527 restricted stock units (RSUs), which included the right to receive dividend equivalents, when quarterly dividends are paid on UTC's common stock. On the fourth anniversary of the grant date, June 1, 2016, 1,674 RSUs, which included accumulated dividend equivalents, were converted into common stock. That transaction was reported on June 3, 2016. Those previously awarded RSUs were entitled to an additional 11 dividend equivalents that were not payable until June 10, 2016. F3 · derivative.exercise_date: The dividend equivalent rights vested on June 1, 2016, yet were not payable until June 10, 2016. F3 · derivative.expiration_date: The dividend equivalent rights vested on June 1, 2016, yet were not payable until June 10, 2016. Read SEC document |
| June 10, 2016 Filed Jun 14, 2016 21:03 UTC |
Whitehouse David RCorp VP, Treasurer
|
Tax withholdingCommon Stock | 4 | $100.35 | $401.40 |
DisclosureSEC source: 0001225208-16-035050 · doc4.xml · nonDerivative · entry 2 Whitehouse David R · CIK 0001638500 · Corp VP, Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,207 Read SEC document |
| June 10, 2016 Filed Jun 14, 2016 21:03 UTC |
Whitehouse David RCorp VP, Treasurer
|
Exercise / conversionCommon Stock | 11 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-035050 · doc4.xml · nonDerivative · entry 1 Whitehouse David R · CIK 0001638500 · Corp VP, Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,211 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: Restricted stock units (RSUs), including dividend equivalent rights, convert into UTC common stock on a one-for-one basis. Read SEC document |
| June 08, 2016 Filed Jun 10, 2016 21:03 UTC |
Gill Charles DExecutive VP & General Counsel
|
Exercise / conversionStock Appreciation Right · Derivative | 23,300 | $0.00 Strike: $62.81 | $0.00 |
DisclosureSEC source: 0001225208-16-034922 · 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 · 23,300 shares Expires 2017-01-02 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 |
| June 08, 2016 Filed Jun 10, 2016 21:03 UTC |
Gill Charles DExecutive VP & General Counsel
|
Disposition to issuerCommon Stock | 14,342 | $102.04 | $1,463,457.68 |
DisclosureSEC source: 0001225208-16-034922 · 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 Read SEC document |
| June 08, 2016 Filed Jun 10, 2016 21:03 UTC |
Gill Charles DExecutive VP & General Counsel
|
SaleCommon Stock | 8,958 | $102.04 | $914,097.61 |
DisclosureSEC source: 0001225208-16-034922 · doc4.xml · nonDerivative · entry 2 Gill Charles D · CIK 0001395028 · Executive VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,120 Read SEC document |
| June 08, 2016 Filed Jun 10, 2016 21:03 UTC |
Gill Charles DExecutive VP & General Counsel
|
Exercise / conversionCommon Stock | 23,300 | $62.81 | $1,463,473.00 |
DisclosureSEC source: 0001225208-16-034922 · doc4.xml · nonDerivative · entry 1 Gill Charles D · CIK 0001395028 · Executive VP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,078 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 |
| June 01, 2016 Filed Jun 3, 2016 21:03 UTC |
Whitehouse David RCorp VP, Treasurer
|
Exercise / conversionRestricted Stock Units RSU · Derivative | 1,674 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-034566 · 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 · 1,674 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: Restricted stock units (RSUs) convert into UTC common stock on a one-for-one basis. F1 · price: Restricted stock units (RSUs) convert into UTC common stock on a one-for-one basis. F2 · derivative.exercise_date: On June 1, 2012, the reporting person was granted 1,527 restricted stock units (RSUs), which included the right to receive dividend equivalents when quarterly dividends are paid on UTC's common stock. The 1,674 RSUs include accumulated dividend equivalents. The RSUs vested on the fourth anniversary of the grant date, June 1, 2016. F2 · derivative.expiration_date: On June 1, 2012, the reporting person was granted 1,527 restricted stock units (RSUs), which included the right to receive dividend equivalents when quarterly dividends are paid on UTC's common stock. The 1,674 RSUs include accumulated dividend equivalents. The RSUs vested on the fourth anniversary of the grant date, June 1, 2016. Read SEC document |
| June 01, 2016 Filed Jun 3, 2016 21:03 UTC |
Whitehouse David RCorp VP, Treasurer
|
Tax withholdingCommon Stock | 577 | $100.35 | $57,901.95 |
DisclosureSEC source: 0001225208-16-034566 · doc4.xml · nonDerivative · entry 2 Whitehouse David R · CIK 0001638500 · Corp VP, Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,200 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.