RTX

SEC source: 0001225208-16-026005 · doc4.xml · derivative · entry 2

MCDONOUGH ROBERT J · CIK 0001123874 · President, UTC CCS

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.

SEC source: 0001225208-16-026544 · doc4.xml · derivative · entry 2

Reynolds Fredric G · CIK 0001347950 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 982.6474

Underlying: Common Stock · 103.7105 shares

Expires not disclosed

F1 · derivative.exercise_price: The units are Deferred Stock Units ("DSUs") awarded under the Directors' Deferred Stock Unit Plan (the "Plan"). DSUs convert into shares of Common Stock on a one-for-one basis. The DSUs were awarded to the reporting person following his appointment by the Board of Directors to serve as a member of the Audit Committee, consistent with the provisions of the Plan. Upon termination of service on the Board of Directors, all such DSUs are payable in cash as a lump sum or in installments, at the election of the director.

F1 · derivative.exercise_date: The units are Deferred Stock Units ("DSUs") awarded under the Directors' Deferred Stock Unit Plan (the "Plan"). DSUs convert into shares of Common Stock on a one-for-one basis. The DSUs were awarded to the reporting person following his appointment by the Board of Directors to serve as a member of the Audit Committee, consistent with the provisions of the Plan. Upon termination of service on the Board of Directors, all such DSUs are payable in cash as a lump sum or in installments, at the election of the director.

F1 · derivative.expiration_date: The units are Deferred Stock Units ("DSUs") awarded under the Directors' Deferred Stock Unit Plan (the "Plan"). DSUs convert into shares of Common Stock on a one-for-one basis. The DSUs were awarded to the reporting person following his appointment by the Board of Directors to serve as a member of the Audit Committee, consistent with the provisions of the Plan. Upon termination of service on the Board of Directors, all such DSUs are payable in cash as a lump sum or in installments, at the election of the director.

SEC source: 0001225208-16-025502 · doc4.xml · nonDerivative · entry 1

Reynolds Fredric G · CIK 0001347950 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,225

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $85.86 to $86.25, inclusive. Actual prices are available upon request to United Technologies Corporation.

SEC source: 0001225208-16-024377 · doc4.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,000

Underlying: Common Stock · 88,000 shares

Expires 2026-01-14

F3 · derivative.underlying_shares: The reporting person was also awarded 17,600 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 vet 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 period.

SEC source: 0001225208-16-024377 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,770

Underlying: Common Stock · 15,770 shares

Expires not disclosed

F1 · derivative.exercise_price: Restricted stock units (RSUs) convert into UTC common stock on a one-for-one basis.

F2 · derivative.exercise_date: The restricted stock units vest on retirement from UTC on or after age 62 with a minimum of three years of service as a member of UTC's Executive Leadership Group. Each restricted stock unit represents a contingent right to receive one share of United Technologies Corporation Common Stock.

F2 · derivative.expiration_date: The restricted stock units vest on retirement from UTC on or after age 62 with a minimum of three years of service as a member of UTC's Executive Leadership Group. Each restricted stock unit represents a contingent right to receive one share of United Technologies Corporation Common Stock.

SEC source: 0001225208-16-023800 · doc4.xml · derivative · entry 5

HAYES GREGORY · CIK 0001225946 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 264,000

Underlying: Common Stock · 264,000 shares

Expires 2026-01-03

F1 · balance_after: The reporting person was also awarded 53,000 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: 0001225208-16-023801 · doc4.xml · derivative · entry 3

Adams Paul R. · CIK 0001587263 · President, Pratt & Whitney

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,000

Underlying: Common Stock · 79,000 shares

Expires 2026-01-03

F1 · balance_after: The reporting person was also awarded 15,800 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: 0001225208-16-023803 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,000

Underlying: Common Stock · 79,000 shares

Expires 2026-01-03

F1 · balance_after: The reporting person was also awarded 15,800 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: 0001225208-16-023802 · doc4.xml · derivative · entry 2

DELPECH PHILIPPE · CIK 0001652945 · President, Otis Elevator

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 132,000

Underlying: Common Stock · 132,000 shares

Expires 2026-01-03

F1 · balance_after: The reporting person was also awarded 26,400 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: 0001225208-16-023805 · doc4.xml · derivative · entry 2

MCDONOUGH ROBERT J · CIK 0001123874 · President, UTC CCS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 132,000

Underlying: Common Stock · 132,000 shares

Expires 2026-01-03

F1 · balance_after: The reporting person was also awarded 26,400 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: 0001225208-16-023806 · doc4.xml · derivative · entry 3

Amato Elizabeth B · CIK 0001555745 · SVP, Human Resources & Org.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,500

Underlying: Common Stock · 71,500 shares

Expires 2026-01-03

F1 · balance_after: The reporting person was also awarded 14,300 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: 0001225208-16-023808 · doc4.xml · derivative · entry 3

Dumais Michael R · CIK 0001531769 · SVP, Strategic Planning

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,000

Underlying: Common Stock · 79,000 shares

Expires 2026-01-03

F1 · balance_after: The reporting person was also awarded 15,800 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: 0001225208-16-023809 · doc4.xml · derivative · entry 4

Gill Charles D · CIK 0001395028 · Senior VP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,000

Underlying: Common Stock · 86,000 shares

Expires 2026-01-03

F1 · 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: 0001225208-16-023810 · doc4.xml · derivative · entry 3

JOHRI AKHIL · CIK 0001517450 · SVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,000

Underlying: Common Stock · 86,000 shares

Expires 2026-01-03

F1 · 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: 0001225208-16-023811 · doc4.xml · derivative · entry 3

Mitchill Neil G. JR · CIK 0001633746 · Vice President, Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,200

Underlying: Common Stock · 13,200 shares

Expires 2026-01-03

F3 · balance_after: The reporting person was also awarded 1,580 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: 0001225208-16-023811 · doc4.xml · derivative · entry 2

Mitchill Neil G. JR · CIK 0001633746 · Vice President, Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,055

Underlying: Common Stock · 1,055 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit (RSU) is equal in value to one share of UTC common stock.

F2 · derivative.exercise_date: The restricted stock units (RSUs) vest after three years.

F2 · derivative.expiration_date: The restricted stock units (RSUs) vest after three years.

SEC source: 0001225208-16-023812 · doc4.xml · derivative · entry 4

Whitehouse David R · CIK 0001638500 · Vice President, Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,200

Underlying: Common Stock · 13,200 shares

Expires 2026-01-03

F3 · balance_after: The reporting person was also awarded 1,580 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: 0001225208-16-023812 · doc4.xml · derivative · entry 3

Whitehouse David R · CIK 0001638500 · Vice President, Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,055

Underlying: Common Stock · 1,055 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit (RSU) is equal in value to one share of UTC common stock.

F2 · derivative.exercise_date: The restricted stock units (RSUs) vest after three years.

F2 · derivative.expiration_date: The restricted stock units (RSUs) vest after three years.

SEC source: 0001225208-16-023813 · doc4.xml · derivative · entry 3

Reynolds Fredric G · CIK 0001347950 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,046.3535

Underlying: Common Stock · 1,046.3535 shares

Expires not disclosed

F2 · derivative.exercise_price: Consists of a one-time grant of deferred Restricted Stock Units awarded on the effective date of election as a non-employee director. 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 effective date of election as a non-employee director. 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 effective date of election as a non-employee director. 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.

SEC source: 0001225208-16-023813 · doc4.xml · derivative · entry 2

Reynolds Fredric G · CIK 0001347950 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 878.9369

Underlying: Common Stock · 878.9369 shares

Expires not disclosed

F1 · derivative.exercise_price: Consists of Phantom Stock Units acquired by the reporting person in respect of 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 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 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 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 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 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: 0001225208-16-023814 · doc4.xml · derivative · entry 2

ROGERS BRIAN C · CIK 0001203074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,046.3535

Underlying: Common Stock · 1,046.3535 shares

Expires not disclosed

F2 · derivative.exercise_price: Consists of a one-time grant of deferred Restricted Stock Units awarded on the effective date of election as a non-employee director. 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 effective date of election as a non-employee director. 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 effective date of election as a non-employee director. 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.

SEC source: 0001225208-16-023814 · doc4.xml · derivative · entry 1

ROGERS BRIAN C · CIK 0001203074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,464.8948

Underlying: Common Stock · 1,464.8948 shares

Expires not disclosed

F1 · derivative.exercise_price: Consists of Phantom Stock Units acquired by the reporting person in respect of 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 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 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 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 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 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: 0001225208-16-023954 · doc4a.xml · derivative · entry 3

Whitehouse David R · CIK 0001638500 · Corp VP, Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,400 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 January 2, 2013, the reporting person was granted 1,400 restricted stock units (RSUs), which RSUs vested on the third anniversary of the grant date, January 2, 2016.

F2 · derivative.expiration_date: On January 2, 2013, the reporting person was granted 1,400 restricted stock units (RSUs), which RSUs vested on the third anniversary of the grant date, January 2, 2016.

SEC source: 0001225208-16-023954 · doc4a.xml · nonDerivative · entry 2

Whitehouse David R · CIK 0001638500 · Corp VP, Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,903

SEC source: 0001225208-16-023954 · doc4a.xml · nonDerivative · entry 1

Whitehouse David R · CIK 0001638500 · Corp VP, Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,447

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: 0001225208-16-042000 · doc4a.xml · derivative · entry 1

DELPECH PHILIPPE · CIK 0001652945 · President, Otis Elevator

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 132,000

Underlying: Common Stock · 132,000 shares

Expires 2026-01-03

F1 · security: The Form 4 filed on January 6, 2016 mistakenly reported that the reporting person was awarded stock appreciation rights ("SARs"). The reporting person was awarded non-qualified stock options.

SEC source: 0001225208-15-021672 · doc4.xml · derivative · entry 3

Adams Paul R. · CIK 0001587263 · President, Pratt & Whitney

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,350

Underlying: Common Stock · 10,350 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of United Technologies Corporation common stock.

F2 · derivative.exercise_date: 50% of the restricted stock units ("RSUs") will vest on December 1, 2017 and 50% of the RSUs will vest on December 1, 2019. When UTC pays a dividend on its common stock, the officer's RSU account is credited with additional RSUs equal in value to the dividend paid on a corresponding number of shares of common stock.

F2 · derivative.expiration_date: 50% of the restricted stock units ("RSUs") will vest on December 1, 2017 and 50% of the RSUs will vest on December 1, 2019. When UTC pays a dividend on its common stock, the officer's RSU account is credited with additional RSUs equal in value to the dividend paid on a corresponding number of shares of common stock.

SEC source: 0001225208-15-019959 · doc4.xml · nonDerivative · entry 1

SWYGERT H PATRICK · CIK 0001160229 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

SEC source: 0001225208-15-019960 · doc4.xml · nonDerivative · entry 4

Gill Charles D · CIK 0001395028 · Senior VP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,614

SEC source: 0001225208-15-019960 · doc4.xml · nonDerivative · entry 3

Gill Charles D · CIK 0001395028 · Senior VP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,503

SEC source: 0001225208-15-019960 · doc4.xml · nonDerivative · entry 2

Gill Charles D · CIK 0001395028 · Senior VP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,003

SEC source: 0001225208-15-019960 · doc4.xml · nonDerivative · entry 1

Gill Charles D · CIK 0001395028 · Senior VP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,403

SEC source: 0001225208-16-038775 · doc4.xml · nonDerivative · entry 4

FARACI JOHN V · CIK 0001189930 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,145.2729

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

SEC source: 0001225208-16-038775 · doc4.xml · nonDerivative · entry 3

FARACI JOHN V · CIK 0001189930 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,179

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: 0001225208-16-038775 · doc4.xml · nonDerivative · entry 2

FARACI JOHN V · CIK 0001189930 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 940

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: 0001225208-16-038775 · doc4.xml · nonDerivative · entry 1

FARACI JOHN V · CIK 0001189930 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 860

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: 0001225208-15-012467 · doc4.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,900 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: 0001225208-15-012467 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,246

SEC source: 0001225208-15-012467 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,354

SEC source: 0001225208-15-012467 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,146

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: 0001225208-15-010569 · doc4.xml · derivative · entry 2

VILLENEUVE ANDRE F H · CIK 0001140808 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,155.3374

Underlying: Common Stock · 2,678.4171 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: 0001225208-15-010570 · doc4.xml · derivative · entry 2

SWYGERT H PATRICK · CIK 0001160229 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,585.7203

Underlying: Common Stock · 1,607.0503 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: 0001225208-15-010571 · doc4.xml · derivative · entry 1

MYERS RICHARD B · CIK 0001356702 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,871.0257

Underlying: Common Stock · 1,607.0503 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: 0001225208-15-010572 · doc4.xml · derivative · entry 2

MCGRAW HAROLD III · CIK 0001191761 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,276.325

Underlying: Common Stock · 1,451.5293 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: 0001225208-15-010573 · doc4.xml · derivative · entry 4

LARSEN MARSHALL O · CIK 0001024382 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,848.9296

Underlying: Common Stock · 2,419.2155 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: 0001225208-15-010574 · doc4.xml · derivative · entry 1

Kullman Ellen Jamison · CIK 0001303141 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,978.3236

Underlying: Common Stock · 2,678.4171 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: 0001225208-15-010575 · doc4.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,947.3551

Underlying: Common Stock · 2,488.3359 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: 0001225208-15-010576 · doc4.xml · derivative · entry 3

GARNIER JEAN PIERRE · CIK 0001184175 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,098.6305

Underlying: Common Stock · 2,635.2169 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: 0001225208-15-010578 · doc4.xml · derivative · entry 1

FARACI JOHN V · CIK 0001189930 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,634.4726

Underlying: Common Stock · 2,635.2169 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: 0001225208-15-010579 · doc4.xml · derivative · entry 3

WHITMAN CHRISTINE TODD · CIK 0001271384 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,536.9621

Underlying: Common Stock · 1,555.21 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.