RTX

SEC source: 0001225208-16-034566 · doc4.xml · nonDerivative · entry 1

Whitehouse David R · CIK 0001638500 · Corp VP, Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,777

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) convert into UTC common stock on a one-for-one basis.

SEC source: 0001225208-16-033305 · doc4.xml · derivative · entry 8

HAYES GREGORY · CIK 0001225946 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 55,500 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.

SEC source: 0001225208-16-033305 · doc4.xml · nonDerivative · entry 4

HAYES GREGORY · CIK 0001225946 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,825

SEC source: 0001225208-16-033305 · doc4.xml · nonDerivative · entry 3

HAYES GREGORY · CIK 0001225946 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 127,964

F1 · price: The price in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $102.08 to $102.175.

SEC source: 0001225208-16-033305 · doc4.xml · nonDerivative · entry 2

HAYES GREGORY · CIK 0001225946 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 138,418

SEC source: 0001225208-16-033305 · doc4.xml · nonDerivative · entry 1

HAYES GREGORY · CIK 0001225946 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 139,398

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: 0001225208-16-033234 · 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 · 9,600 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.

SEC source: 0001225208-16-033234 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,155.6583

SEC source: 0001225208-16-033234 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,059.6583

F1 · price: The price in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $102.121 to $102.131.

SEC source: 0001225208-16-033234 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,755.6583

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: 0001225208-16-032013 · doc4.xml · derivative · entry 9

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,500 shares

Expires 2020-01-03

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

SEC source: 0001225208-16-032013 · 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 · 7,350 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: 0001225208-16-032013 · 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 · 3,300 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: 0001225208-16-032013 · doc4.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,586

SEC source: 0001225208-16-032013 · doc4.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,645

SEC source: 0001225208-16-032013 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,736

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: 0001225208-16-032013 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,436

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: 0001225208-16-032013 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,086

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: 0001225208-16-031874 · doc4.xml · derivative · entry 1

FARACI JOHN V · CIK 0001189930 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,544.9086

Underlying: Common Stock · 2,899.2395 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.

SEC source: 0001225208-16-031875 · doc4.xml · derivative · entry 3

GARNIER JEAN PIERRE · CIK 0001184175 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,858.7648

Underlying: Common Stock · 2,899.2395 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.

SEC source: 0001225208-16-031876 · doc4.xml · derivative · entry 1

KANGAS EDWARD A · CIK 0001211047 · Director · non-executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,468.8227

Underlying: Common Stock · 2,737.6426 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.

SEC source: 0001225208-16-031877 · doc4.xml · derivative · entry 1

Kullman Ellen Jamison · CIK 0001303141 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,091.2017

Underlying: Common Stock · 2,851.711 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.

SEC source: 0001225208-16-031878 · doc4.xml · derivative · entry 4

LARSEN MARSHALL O · CIK 0001024382 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,729.8416

Underlying: Common Stock · 1,596.9582 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.

SEC source: 0001225208-16-031879 · doc4.xml · derivative · entry 2

MCGRAW HAROLD III · CIK 0001191761 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,005.9728

Underlying: Common Stock · 1,596.9582 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.

SEC source: 0001225208-16-031880 · doc4.xml · derivative · entry 1

MYERS RICHARD B · CIK 0001356702 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,263.8732

Underlying: Common Stock · 1,768.0608 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.

SEC source: 0001225208-16-031881 · doc4.xml · derivative · entry 2

Reynolds Fredric G · CIK 0001347950 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,757.247

Underlying: Common Stock · 1,768.0608 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.

SEC source: 0001225208-16-031882 · doc4.xml · derivative · entry 1

ROGERS BRIAN C · CIK 0001203074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,136.2395

Underlying: Common Stock · 2,661.597 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.

SEC source: 0001225208-16-031883 · doc4.xml · derivative · entry 1

SWYGERT H PATRICK · CIK 0001160229 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,677.7833

Underlying: Common Stock · 1,768.0608 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.

SEC source: 0001225208-16-031884 · doc4.xml · derivative · entry 2

VILLENEUVE ANDRE F H · CIK 0001140808 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,707.2572

Underlying: Common Stock · 1,768.0608 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.

SEC source: 0001225208-16-031885 · doc4.xml · derivative · entry 3

WHITMAN CHRISTINE TODD · CIK 0001271384 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,919.2959

Underlying: Common Stock · 2,661.597 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.

SEC source: 0001225208-16-038775 · doc4.xml · nonDerivative · entry 6

FARACI JOHN V · CIK 0001189930 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: The transactions reported in this Form 4 were executed by the reporting person's investment advisor in a managed account as part of the investment advisor's implementation of a large-cap investment strategy involving the securities of multiple issuers. These transactions did not result in a short swing profit because the purchase prices were in each case greater than any of the matchable sale prices and, as a result, no disgorgement to the issuer is required of the reporting person.

SEC source: 0001225208-16-026329 · doc4.xml · nonDerivative · entry 2

HAYES GREGORY · CIK 0001225946 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,898

SEC source: 0001225208-16-026329 · doc4.xml · nonDerivative · entry 1

HAYES GREGORY · CIK 0001225946 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,067

F1 · shares: The acquisition of shares of UTC common stock represents the vesting of performance share units (PSUs) previously awarded on January 2, 2013 to the reporting person under the United Technologies Corporation Long-Term Incentive Plan. Each PSU has a value equal to one share of UTC common stock. The PSUs vested solely upon achievement of pre-established performance targets for UTC's earnings per share growth and total shareholder return over a three-year performance period.

SEC source: 0001225208-16-026330 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,778

SEC source: 0001225208-16-026330 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,490

F1 · shares: The acquisition of shares of UTC common stock represents the vesting of performance share units (PSUs) previously awarded on January 2, 2013 to the reporting person under the United Technologies Corporation Long-Term Incentive Plan. Each PSU has a value equal to one share of UTC common stock. The PSUs vested solely upon achievement of pre-established performance targets for UTC's earnings per share growth and total shareholder return over a three-year performance period.

SEC source: 0001225208-16-026331 · doc4.xml · nonDerivative · entry 2

Dumais Michael R · CIK 0001531769 · SVP, Strategic Planning

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,948

SEC source: 0001225208-16-026331 · doc4.xml · nonDerivative · entry 1

Dumais Michael R · CIK 0001531769 · SVP, Strategic Planning

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,466

F1 · shares: The acquisition of shares of UTC common stock represents the vesting of performance share units (PSUs) previously awarded on January 2, 2013 to the reporting person under the United Technologies Corporation Long-Term Incentive Plan. Each PSU has a value equal to one share of UTC common stock. The PSUs vested solely upon achievement of pre-established performance targets for UTC's earnings per share growth and total shareholder return over a three-year performance period.

SEC source: 0001225208-16-026332 · doc4.xml · nonDerivative · entry 2

MCDONOUGH ROBERT J · CIK 0001123874 · President, UTC CCS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,449

SEC source: 0001225208-16-026332 · doc4.xml · nonDerivative · entry 1

MCDONOUGH ROBERT J · CIK 0001123874 · President, UTC CCS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,576

F1 · shares: The acquisition of shares of UTC common stock represents the vesting of performance share units (PSUs) previously awarded on January 2, 2013 to the reporting person under the United Technologies Corporation Long-Term Incentive Plan. Each PSU has a value equal to one share of UTC common stock. The PSUs vested solely upon achievement of pre-established performance targets for UTC's earnings per share growth and total shareholder return over a three-year performance period.

SEC source: 0001225208-16-026335 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,095.4798

SEC source: 0001225208-16-026335 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,276.4798

F1 · shares: The acquisition of shares of UTC common stock represents the vesting of performance share units (PSUs) previously awarded on January 2, 2013 to the reporting person under the United Technologies Corporation Long-Term Incentive Plan. Each PSU has a value equal to one share of UTC common stock. The PSUs vested solely upon achievement of pre-established performance targets for UTC's earnings per share growth and total shareholder return over a three-year performance period.

SEC source: 0001225208-16-026336 · doc4.xml · nonDerivative · entry 1

DELPECH PHILIPPE · CIK 0001652945 · President, Otis Elevator

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,121

F1 · shares: The acquisition of shares of UTC common stock represents the vesting of performance share units (PSUs) previously awarded on January 2, 2013 to the reporting person under the United Technologies Corporation Long-Term Incentive Plan. Each PSU has a value equal to one share of UTC common stock. The PSUs vested solely upon achievement of pre-established performance targets for UTC's earnings per share growth and total shareholder return over a three-year performance period.

SEC source: 0001225208-16-026338 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,592

SEC source: 0001225208-16-026338 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,463

F1 · shares: The acquisition of shares of UTC common stock represents the vesting of performance share units (PSUs) previously awarded on January 2, 2013 to the reporting person under the United Technologies Corporation Long-Term Incentive Plan. Each PSU has a value equal to one share of UTC common stock. The PSUs vested solely upon achievement of pre-established performance targets for UTC's earnings per share growth and total shareholder return over a three-year performance period.

SEC source: 0001225208-16-026339 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,586

SEC source: 0001225208-16-026339 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,279

F1 · shares: The acquisition of shares of UTC common stock represents the vesting of performance share units (PSUs) previously awarded on January 2, 2013 to the reporting person under the United Technologies Corporation Long-Term Incentive Plan. Each PSU has a value equal to one share of UTC common stock. The PSUs vested solely upon achievement of pre-established performance targets for UTC's earnings per share growth and total shareholder return over a three-year performance period.

SEC source: 0001225208-16-026341 · doc4.xml · nonDerivative · entry 2

Whitehouse David R · CIK 0001638500 · Corp VP, Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,097

SEC source: 0001225208-16-026341 · doc4.xml · nonDerivative · entry 1

Whitehouse David R · CIK 0001638500 · Corp VP, Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,198

F1 · shares: The acquisition of shares of UTC common stock represents the vesting of performance share units (PSUs) previously awarded on January 2, 2013 to the reporting person under the United Technologies Corporation Long-Term Incentive Plan. Each PSU has a value equal to one share of UTC common stock. The PSUs vested solely upon achievement of pre-established performance targets for UTC's earnings per share growth and total shareholder return over a three-year performance period.

SEC source: 0001225208-16-038775 · doc4.xml · nonDerivative · entry 5

FARACI JOHN V · CIK 0001189930 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0.1321

F1 · kind: The transactions reported in this Form 4 were executed by the reporting person's investment advisor in a managed account as part of the investment advisor's implementation of a large-cap investment strategy involving the securities of multiple issuers. These transactions did not result in a short swing profit because the purchase prices were in each case greater than any of the matchable sale prices and, as a result, no disgorgement to the issuer is required of the reporting person.

F2 · shares: Includes additional shares acquired through reinvestment of dividends, which are transactions exempt from reporting under SEC Rule 16a-11.

SEC source: 0001225208-16-026004 · doc4.xml · derivative · entry 2

DELPECH PHILIPPE · CIK 0001652945 · President, Otis Elevator

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,804

Underlying: Common Stock · 32,804 shares

Expires 2024-01-01

F1 · date: On January 1, 2014, the reporting person was granted 69,500 performance stock appreciation rights (PSARs), 50% of which became exercisable on February 10, 2016. The performance period for the remaining 50% will end on December 31, 2017, and any earned stock appreciation rights (SARs) will become exercisable in February 2018. Vesting of these awards is subject to achievement of pre-established business unit earnings, sales and other financial targets, and final review of company financial results by the Board. The performance criteria were satisfied at the 94.4% level for the first 50% of the grant, resulting in the vesting of 32,804 stock appreciation rights and the cancellation of 1,946 stock appreciation rights.

F1 · shares: On January 1, 2014, the reporting person was granted 69,500 performance stock appreciation rights (PSARs), 50% of which became exercisable on February 10, 2016. The performance period for the remaining 50% will end on December 31, 2017, and any earned stock appreciation rights (SARs) will become exercisable in February 2018. Vesting of these awards is subject to achievement of pre-established business unit earnings, sales and other financial targets, and final review of company financial results by the Board. The performance criteria were satisfied at the 94.4% level for the first 50% of the grant, resulting in the vesting of 32,804 stock appreciation rights and the cancellation of 1,946 stock appreciation rights.

F1 · derivative.underlying_shares: On January 1, 2014, the reporting person was granted 69,500 performance stock appreciation rights (PSARs), 50% of which became exercisable on February 10, 2016. The performance period for the remaining 50% will end on December 31, 2017, and any earned stock appreciation rights (SARs) will become exercisable in February 2018. Vesting of these awards is subject to achievement of pre-established business unit earnings, sales and other financial targets, and final review of company financial results by the Board. The performance criteria were satisfied at the 94.4% level for the first 50% of the grant, resulting in the vesting of 32,804 stock appreciation rights and the cancellation of 1,946 stock appreciation rights.