Last 12 months
Inside the activity.
0 purchase rows · 18 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 0 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 12 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 0 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 5 |
| Aug 2026 | 0 | 1 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| February 09, 2015 Filed Feb 11, 2015 22:11 UTC |
JOHRI AKHILSVP and CFO
|
GrantCommon Stock | 7,290 | $119.32 | $869,842.80 |
DisclosureSEC source: 0001225208-15-003589 · doc4.xml · nonDerivative · entry 1 JOHRI AKHIL · CIK 0001517450 · SVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,155 F1 · shares: The acquisition of shares of UTC common stock represents the vesting of performance share units (PSUs) previously awarded on January 3, 2012 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 and total shareholder return over a three-year performance period. Read SEC document |
| February 09, 2015 Filed Feb 11, 2015 22:11 UTC |
HAYES GREGORYDirector · President and CEO
|
Tax withholdingCommon Stock | 12,950 | $119.32 | $1,545,194.00 |
DisclosureSEC source: 0001225208-15-003590 · doc4.xml · nonDerivative · entry 2 HAYES GREGORY · CIK 0001225946 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,539 Read SEC document |
| February 09, 2015 Filed Feb 11, 2015 22:11 UTC |
HAYES GREGORYDirector · President and CEO
|
GrantCommon Stock | 29,070 | $119.32 | $3,468,632.40 |
DisclosureSEC source: 0001225208-15-003590 · doc4.xml · nonDerivative · entry 1 HAYES GREGORY · CIK 0001225946 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,489 F1 · shares: The acquisition of shares of UTC common stock represents the vesting of performance share units (PSUs) previously awarded on January 3, 2012 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 and total shareholder return over a three-year performance period. Read SEC document |
| February 09, 2015 Filed Feb 11, 2015 22:11 UTC |
Gitlin David L.Pres., UTC Aerospace Systems
|
GrantStock Appreciation Right · Derivative | 37,467 | $0.00 Strike: $74.79 | $0.00 |
DisclosureSEC source: 0001225208-15-003591 · doc4.xml · derivative · entry 4 Gitlin David L. · CIK 0001631473 · Pres., UTC Aerospace Systems 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,467 Underlying: Common Stock · 37,467 shares Expires 2022-07-31 F2 · date: On August 1, 2012, the reporting person was granted 75,690 performance stock appreciation rights, 50% of which became exercisable on February 9, 2015 and 50% of which may become exercisable December 31, 2016, in each case subject to and following confirmation of achievement of pre-established business unit earnings, sales and other financial targets. The grant of 75,690 performance stock appreciation rights was incorrectly reported on a Form 3 filed on January 26, 2015 (performance-based stock appreciation rights not tied to the market price of the issuer's stock need not be reported until vesting upon achievement of performance conditions). The performance criteria were satisfied at the 99% level for the first 50% of the grant, resulting in the vesting of 37,467 stock appreciation rights and the cancellation of 378 stock appreciation rights, both as of February 9, 2015. F2 · shares: On August 1, 2012, the reporting person was granted 75,690 performance stock appreciation rights, 50% of which became exercisable on February 9, 2015 and 50% of which may become exercisable December 31, 2016, in each case subject to and following confirmation of achievement of pre-established business unit earnings, sales and other financial targets. The grant of 75,690 performance stock appreciation rights was incorrectly reported on a Form 3 filed on January 26, 2015 (performance-based stock appreciation rights not tied to the market price of the issuer's stock need not be reported until vesting upon achievement of performance conditions). The performance criteria were satisfied at the 99% level for the first 50% of the grant, resulting in the vesting of 37,467 stock appreciation rights and the cancellation of 378 stock appreciation rights, both as of February 9, 2015. F2 · derivative.underlying_shares: On August 1, 2012, the reporting person was granted 75,690 performance stock appreciation rights, 50% of which became exercisable on February 9, 2015 and 50% of which may become exercisable December 31, 2016, in each case subject to and following confirmation of achievement of pre-established business unit earnings, sales and other financial targets. The grant of 75,690 performance stock appreciation rights was incorrectly reported on a Form 3 filed on January 26, 2015 (performance-based stock appreciation rights not tied to the market price of the issuer's stock need not be reported until vesting upon achievement of performance conditions). The performance criteria were satisfied at the 99% level for the first 50% of the grant, resulting in the vesting of 37,467 stock appreciation rights and the cancellation of 378 stock appreciation rights, both as of February 9, 2015. Read SEC document |
| February 09, 2015 Filed Feb 11, 2015 22:11 UTC |
Gitlin David L.Pres., UTC Aerospace Systems
|
Tax withholdingCommon Stock | 1,423 | $119.32 | $169,792.36 |
DisclosureSEC source: 0001225208-15-003591 · doc4.xml · nonDerivative · entry 2 Gitlin David L. · CIK 0001631473 · Pres., UTC Aerospace Systems 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,246 Read SEC document |
| February 09, 2015 Filed Feb 11, 2015 22:11 UTC |
Gitlin David L.Pres., UTC Aerospace Systems
|
GrantCommon Stock | 4,239 | $119.32 | $505,797.48 |
DisclosureSEC source: 0001225208-15-003591 · doc4.xml · nonDerivative · entry 1 Gitlin David L. · CIK 0001631473 · Pres., UTC Aerospace Systems 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,669 F1 · shares: The acquisition of shares of UTC common stock represents the vesting of performance share units (PSUs) previously awarded on January 3, 2012 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 and total shareholder return over a three-year performance period. Read SEC document |
| February 09, 2015 Filed Feb 11, 2015 22:12 UTC |
Gill Charles DSenior VP and General Counsel
|
Tax withholdingCommon Stock | 7,557 | $119.32 | $901,701.24 |
DisclosureSEC source: 0001225208-15-003592 · 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: 30,614 Read SEC document |
| February 09, 2015 Filed Feb 11, 2015 22:12 UTC |
Gill Charles DSenior VP and General Counsel
|
GrantCommon Stock | 18,000 | $119.32 | $2,147,760.00 |
DisclosureSEC source: 0001225208-15-003592 · 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: 38,171 F1 · shares: The acquisition of shares of UTC common stock represents the vesting of performance share units (PSUs) previously awarded on January 3, 2012 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 and total shareholder return over a three-year performance period. Read SEC document |
| February 09, 2015 Filed Feb 11, 2015 22:12 UTC |
Dumais Michael RSVP, Strategic Planning
|
GrantStock Appreciation Right · Derivative | 49,956 | $0.00 Strike: $74.79 | $0.00 |
DisclosureSEC source: 0001225208-15-003593 · doc4.xml · derivative · entry 4 Dumais Michael R · CIK 0001531769 · SVP, Strategic Planning 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,956 Underlying: Common Stock · 49,956 shares Expires 2012-07-31 F2 · date: On August 1, 2012, the reporting person was granted 100,920 performance stock appreciation rights, 50% of which became exercisable on February 9, 2015 and 50% of which may become exercisable December 31, 2016, in each case subject to and following confirmation of achievement of pre-established business unit earnings, sales and other financial targets. The grant of 100,920 performance stock appreciation rights was incorrectly reported on a Form 3 filed on January 26, 2015 (performance-based stock appreciation rights not tied to the market price of the issuer's stock need not be reported until vesting upon achievement of performance conditions). The performance criteria were satisfied at the 99% level for the first 50% of the grant, resulting in the vesting of 49,956 stock appreciation rights and the cancellation of 504 stock appreciation rights, both as of February 9, 2015. F2 · shares: On August 1, 2012, the reporting person was granted 100,920 performance stock appreciation rights, 50% of which became exercisable on February 9, 2015 and 50% of which may become exercisable December 31, 2016, in each case subject to and following confirmation of achievement of pre-established business unit earnings, sales and other financial targets. The grant of 100,920 performance stock appreciation rights was incorrectly reported on a Form 3 filed on January 26, 2015 (performance-based stock appreciation rights not tied to the market price of the issuer's stock need not be reported until vesting upon achievement of performance conditions). The performance criteria were satisfied at the 99% level for the first 50% of the grant, resulting in the vesting of 49,956 stock appreciation rights and the cancellation of 504 stock appreciation rights, both as of February 9, 2015. F2 · derivative.underlying_shares: On August 1, 2012, the reporting person was granted 100,920 performance stock appreciation rights, 50% of which became exercisable on February 9, 2015 and 50% of which may become exercisable December 31, 2016, in each case subject to and following confirmation of achievement of pre-established business unit earnings, sales and other financial targets. The grant of 100,920 performance stock appreciation rights was incorrectly reported on a Form 3 filed on January 26, 2015 (performance-based stock appreciation rights not tied to the market price of the issuer's stock need not be reported until vesting upon achievement of performance conditions). The performance criteria were satisfied at the 99% level for the first 50% of the grant, resulting in the vesting of 49,956 stock appreciation rights and the cancellation of 504 stock appreciation rights, both as of February 9, 2015. Read SEC document |
| February 09, 2015 Filed Feb 11, 2015 22:12 UTC |
Dumais Michael RSVP, Strategic Planning
|
Tax withholdingCommon Stock | 2,509 | $119.32 | $299,373.88 |
DisclosureSEC source: 0001225208-15-003593 · doc4.xml · nonDerivative · entry 2 Dumais Michael R · CIK 0001531769 · SVP, Strategic Planning 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,110 Read SEC document |
| February 09, 2015 Filed Feb 11, 2015 22:12 UTC |
Dumais Michael RSVP, Strategic Planning
|
GrantCommon Stock | 7,290 | $119.32 | $869,842.80 |
DisclosureSEC source: 0001225208-15-003593 · doc4.xml · nonDerivative · entry 1 Dumais Michael R · CIK 0001531769 · SVP, Strategic Planning 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,619 F1 · shares: The acquisition of shares of UTC common stock represents the vesting of performance share units (PSUs) previously awarded on January 3, 2012 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 and total shareholder return over a three-year performance period. Read SEC document |
| February 09, 2015 Filed Feb 11, 2015 22:12 UTC |
Amato Elizabeth BSVP, Human Resources & Org.
|
Tax withholdingCommon Stock | 1,051 | $119.32 | $125,405.32 |
DisclosureSEC source: 0001225208-15-003594 · doc4.xml · nonDerivative · entry 2 Amato Elizabeth B · CIK 0001555745 · SVP, Human Resources & Org. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,672.3545 Read SEC document |
| February 09, 2015 Filed Feb 11, 2015 22:12 UTC |
Amato Elizabeth BSVP, Human Resources & Org.
|
GrantCommon Stock | 3,033 | $119.32 | $361,897.56 |
DisclosureSEC source: 0001225208-15-003594 · doc4.xml · nonDerivative · entry 1 Amato Elizabeth B · CIK 0001555745 · SVP, Human Resources & Org. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,723.3545 F1 · shares: The acquisition of shares of UTC common stock represents the vesting of performance share units (PSUs) previously awarded on January 3, 2012 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 and total shareholder return over a three-year performance period. Read SEC document |
| February 09, 2015 Filed Feb 11, 2015 22:12 UTC |
Adams Paul R.President, Pratt & Whitney
|
GrantStock Appreciation Right · Derivative | 37,946 | $0.00 Strike: $79.06 | $0.00 |
DisclosureSEC source: 0001225208-15-003595 · doc4.xml · derivative · entry 4 Adams Paul R. · CIK 0001587263 · President, Pratt & Whitney 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,946 Underlying: Common Stock · 37,946 shares Expires 2022-10-31 F2 · date: On November 1, 2012, the reporting person was granted 77,440 performance stock appreciation rights, 50% of which became exercisable on February 9, 2015 and 50% of which may become exercisable December 31, 2016, in each case subject to and following confirmation of achievement of pre-established business unit earnings, sales and other financial targets. The grant of 77,440 performance stock appreciation rights was incorrectly reported on a Form 3 filed on September 20, 2013 (performance-based stock appreciation rights not tied to the market price of the issuer's stock need not be reported until vesting upon achievement of performance conditions). The performance criteria were satisfied at the 98% level for the first 50% of the grant, resulting in the vesting of 37,946 stock appreciation rights and the cancellation of 774 stock appreciation rights, both as of February 9, 2015. F2 · shares: On November 1, 2012, the reporting person was granted 77,440 performance stock appreciation rights, 50% of which became exercisable on February 9, 2015 and 50% of which may become exercisable December 31, 2016, in each case subject to and following confirmation of achievement of pre-established business unit earnings, sales and other financial targets. The grant of 77,440 performance stock appreciation rights was incorrectly reported on a Form 3 filed on September 20, 2013 (performance-based stock appreciation rights not tied to the market price of the issuer's stock need not be reported until vesting upon achievement of performance conditions). The performance criteria were satisfied at the 98% level for the first 50% of the grant, resulting in the vesting of 37,946 stock appreciation rights and the cancellation of 774 stock appreciation rights, both as of February 9, 2015. F2 · derivative.underlying_shares: On November 1, 2012, the reporting person was granted 77,440 performance stock appreciation rights, 50% of which became exercisable on February 9, 2015 and 50% of which may become exercisable December 31, 2016, in each case subject to and following confirmation of achievement of pre-established business unit earnings, sales and other financial targets. The grant of 77,440 performance stock appreciation rights was incorrectly reported on a Form 3 filed on September 20, 2013 (performance-based stock appreciation rights not tied to the market price of the issuer's stock need not be reported until vesting upon achievement of performance conditions). The performance criteria were satisfied at the 98% level for the first 50% of the grant, resulting in the vesting of 37,946 stock appreciation rights and the cancellation of 774 stock appreciation rights, both as of February 9, 2015. Read SEC document |
| February 09, 2015 Filed Feb 11, 2015 22:12 UTC |
Adams Paul R.President, Pratt & Whitney
|
Tax withholdingCommon Stock | 2,107 | $119.32 | $251,407.24 |
DisclosureSEC source: 0001225208-15-003595 · doc4.xml · nonDerivative · entry 2 Adams Paul R. · CIK 0001587263 · President, Pratt & Whitney 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,035 Read SEC document |
| February 09, 2015 Filed Feb 11, 2015 22:12 UTC |
Adams Paul R.President, Pratt & Whitney
|
GrantCommon Stock | 6,120 | $119.32 | $730,238.40 |
DisclosureSEC source: 0001225208-15-003595 · doc4.xml · nonDerivative · entry 1 Adams Paul R. · CIK 0001587263 · President, Pratt & Whitney 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,142 F1 · shares: The acquisition of shares of UTC common stock represents the vesting of performance share units (PSUs) previously awarded on January 3, 2012 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 and total shareholder return over a three-year performance period. Read SEC document |
| February 09, 2015 Filed Feb 12, 2015 22:02 UTC Amendment |
ROGAN THOMAS IVice President, Treasurer
|
Tax withholdingCommon Stock | 148.47 | $119.32 | $17,715.44 |
DisclosureSEC source: 0001225208-15-003775 · doc4a.xml · nonDerivative · entry 1 ROGAN THOMAS I · CIK 0001184192 · Vice President, Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,441.53 F1 · balance_after: This amendment adjusts the balance of shares held directly to include 12,769 shares previously incorrectly reported as indirectly held in a trust. Read SEC document |
| February 09, 2015 Filed Oct 14, 2016 21:01 UTC Amendment |
Dumais Michael RSVP, Strategic Planning
|
GrantStock Appreciation Right · Derivative | 49,956 | $0.00 Strike: $74.79 | $0.00 |
DisclosureSEC source: 0000101829-16-000086 · primary_doc.xml · derivative · entry 1 Dumais Michael R · CIK 0001531769 · SVP, Strategic Planning 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,956 Underlying: Common Stock · 49,956 shares Expires 2022-07-31 F1 · derivative.expiration_date: Because of a typographical error, the Form 4 that was filed on February 11, 2015 reported the expiration date of the stock appreciation rights ("SARs") as July 31, 2012. The correct expiration date for these SARs is July 31, 2022. Read SEC document |
| January 09, 2015 Filed Feb 11, 2015 22:10 UTC |
DARNIS GERAUDPres. & CEO, UTC Bldg. & Ind.
|
GiftCommon Stock | 5,984 | $114.26 | $683,701.92 |
DisclosureSEC source: 0001225208-15-003587 · doc4.xml · nonDerivative · entry 4 DARNIS GERAUD · CIK 0001184185 · Pres. & CEO, UTC Bldg. & Ind. 10b5-1 filing: Not disclosed Ownership: Indirect · Trust 3 Disclosed balance after: 11,834 Read SEC document |
| January 09, 2015 Filed Feb 11, 2015 22:10 UTC |
DARNIS GERAUDPres. & CEO, UTC Bldg. & Ind.
|
GiftCommon Stock | 5,984 | $114.26 | $683,701.92 |
DisclosureSEC source: 0001225208-15-003587 · doc4.xml · nonDerivative · entry 3 DARNIS GERAUD · CIK 0001184185 · Pres. & CEO, UTC Bldg. & Ind. 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust 2 Disclosed balance after: 0 Read SEC document |
| January 02, 2015 Filed Jan 6, 2015 22:08 UTC |
Adams Paul R.President, Pratt & Whitney
|
GrantStock Appreciation Right · Derivative | 51,500 | $115.04 Strike: $115.04 | $5,924,560.00 |
DisclosureSEC source: 0001225208-15-000840 · doc4.xml · derivative · entry 3 Adams Paul R. · CIK 0001587263 · President, Pratt & Whitney 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,500 Underlying: Common Stock · 51,500 shares Expires 2025-01-01 F1 · balance_after: The reporting person was also awarded 12,300 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 UTCs earnings per share and total shareholder return over a three year time period. Read SEC document |
| January 02, 2015 Filed Jan 6, 2015 22:09 UTC |
Amato Elizabeth BSVP, Human Resources & Org.
|
GrantStock Appreciation Right · Derivative | 50,000 | $115.04 Strike: $115.04 | $5,752,000.00 |
DisclosureSEC source: 0001225208-15-000841 · doc4.xml · derivative · entry 3 Amato Elizabeth B · CIK 0001555745 · SVP, Human Resources & Org. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 50,000 shares Expires 2025-01-01 F1 · balance_after: The reporting person was also awarded 11,900 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 UTCs earnings per share and total shareholder return over a three year time period. Read SEC document |
| January 02, 2015 Filed Jan 6, 2015 22:09 UTC |
BELLEMARE ALAINPres. & CEO, UTC Prop. & Aero.
|
GrantStock Appreciation Right · Derivative | 64,500 | $115.04 Strike: $115.04 | $7,420,080.00 |
DisclosureSEC source: 0001225208-15-000842 · doc4.xml · derivative · entry 3 BELLEMARE ALAIN · CIK 0001449365 · Pres. & CEO, UTC Prop. & Aero. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,500 Underlying: Common Stock · 64,500 shares Expires 2025-01-01 F1 · balance_after: The reporting person was also awarded 15,400 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 UTCs earnings per share and total shareholder return over a three year time period. Read SEC document |
| January 02, 2015 Filed Jan 6, 2015 22:10 UTC |
DARNIS GERAUDPres. & CEO, UTC Bldg. & Ind.
|
GrantStock Appreciation Right · Derivative | 92,000 | $115.04 Strike: $115.04 | $10,583,680.00 |
DisclosureSEC source: 0001225208-15-000844 · doc4.xml · derivative · entry 6 DARNIS GERAUD · CIK 0001184185 · Pres. & CEO, UTC Bldg. & Ind. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 92,000 Underlying: Common Stock · 92,000 shares Expires 2025-01-01 F1 · balance_after: The reporting person was also awarded 22,000 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 UTCs earnings per share and total shareholder return over a three year time period. Read SEC document |
| January 02, 2015 Filed Jan 6, 2015 22:12 UTC |
Gill Charles DSenior VP and General Counsel
|
GrantStock Appreciation Right · Derivative | 64,500 | $115.04 Strike: $115.04 | $7,420,080.00 |
DisclosureSEC source: 0001225208-15-000857 · 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: 64,500 Underlying: Common Stock · 64,500 shares Expires 2025-01-01 F1 · balance_after: The reporting person was also awarded 15,400 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 UTCs earnings per share and total shareholder return over a three year time period. Read SEC document |
| January 02, 2015 Filed Jan 6, 2015 22:13 UTC |
HAYES GREGORYDirector · President and CEO
|
GrantStock Appreciation Right · Derivative | 165,500 | $115.04 Strike: $115.04 | $19,039,120.00 |
DisclosureSEC source: 0001225208-15-000858 · doc4.xml · derivative · entry 5 HAYES GREGORY · CIK 0001225946 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 165,500 Underlying: Common Stock · 165,500 shares Expires 2025-01-01 F1 · balance_after: The reporting person was also awarded 39,500 performance share units (PSUs) under the UTC Long Term Incentive Plan. Each PSU has a value equal to one share of UTC Common Stock. These PSUs vest solely upon achievement of pre-established performance targets for UTCs earnings per share and total shareholder return over a three year time period. Read SEC document |
| January 02, 2015 Filed Jan 6, 2015 22:13 UTC |
Maurer Michael BPresident, Sikorsky Aircraft
|
GrantStock Appreciation Right · Derivative | 44,500 | $115.04 Strike: $115.04 | $5,119,280.00 |
DisclosureSEC source: 0001225208-15-000859 · doc4.xml · derivative · entry 3 Maurer Michael B · CIK 0001549781 · President, Sikorsky Aircraft 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,500 Underlying: Common Stock · 44,500 shares Expires 2025-01-01 F1 · balance_after: The reporting person was also awarded 10,600 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 vest solely upon achievement of pre-established performance targets for UTCs earnings per share and total shareholder return over a three year time period. Read SEC document |
| January 02, 2015 Filed Jan 6, 2015 22:14 UTC |
Parent Haughey NicoleVP, Corp. Strategy & Dev.
|
GrantStock Appreciation Right · Derivative | 7,400 | $115.04 Strike: $115.04 | $851,296.00 |
DisclosureSEC source: 0001225208-15-000860 · doc4.xml · derivative · entry 2 Parent Haughey Nicole · CIK 0001587294 · VP, Corp. Strategy & Dev. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,400 Underlying: Common Stock · 7,400 shares Expires 2025-01-01 F1 · balance_after: The reporting person was also awarded 1,760 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 UTCs earnings per share and total shareholder return over a three year time period. Read SEC document |
| January 02, 2015 Filed Jan 6, 2015 22:14 UTC |
ROGAN THOMAS IVice President, Treasurer
|
GrantStock Appreciation Right · Derivative | 17,000 | $115.04 Strike: $115.04 | $1,955,680.00 |
DisclosureSEC source: 0001225208-15-000861 · doc4.xml · derivative · entry 4 ROGAN THOMAS I · CIK 0001184192 · Vice President, Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,000 Underlying: Common Stock · 17,000 shares Expires 2025-01-01 F1 · balance_after: The reporting person was also awarded 4,000 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 UTCs earnings per share and total shareholder return over a three year time period. Read SEC document |
| January 02, 2015 Filed Jan 6, 2015 22:14 UTC |
JOHRI AKHILSVP and CFO
|
GrantStock Appreciation Right · Derivative | 40,500 | $115.04 Strike: $115.04 | $4,659,120.00 |
DisclosureSEC source: 0001225208-15-000862 · doc4.xml · derivative · entry 6 JOHRI AKHIL · CIK 0001517450 · SVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 175,100 Underlying: Common Stock · 40,500 shares Expires 2025-01-01 F4 · balance_after: The reporting person was also awarded 9,700 performance share units (PSUs) under the UTC Long Term Incentive Plan. Each PSU has a value equal to one share of UTC Common Stock. These PSUs vest solely upon achievement of pre-established performance targets for UTCs earnings per share and total shareholder return over a three year time period. Read SEC document |
| January 02, 2015 Filed Jan 6, 2015 22:14 UTC |
JOHRI AKHILSVP and CFO
|
GrantStock Appreciation Right · Derivative | 134,600 | $115.04 Strike: $115.04 | $15,484,384.00 |
DisclosureSEC source: 0001225208-15-000862 · doc4.xml · derivative · entry 5 JOHRI AKHIL · CIK 0001517450 · SVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 134,600 Underlying: Common Stock · 134,600 shares Expires 2025-01-01 Read SEC document |
| January 02, 2015 Filed Jan 6, 2015 22:14 UTC |
JOHRI AKHILSVP and CFO
|
GrantRestricted Stock Units RSU · Derivative | 36,510 | $115.04 | $4,200,110.40 |
DisclosureSEC source: 0001225208-15-000862 · doc4.xml · derivative · entry 4 JOHRI AKHIL · CIK 0001517450 · SVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,510 Underlying: Common Stock · 36,510 shares Expires not disclosed F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of United Technologies Corporation common stock. F3 · derivative.expiration_date: The restricted stock units vest on January 2, 2018. Read SEC document |
| January 02, 2015 Filed Jan 6, 2015 22:14 UTC |
JOHRI AKHILSVP and CFO
|
GrantRestricted Stock Units · Derivative | 12,200 | $115.04 | $1,403,488.00 |
DisclosureSEC source: 0001225208-15-000862 · doc4.xml · derivative · entry 3 JOHRI AKHIL · CIK 0001517450 · SVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,200 Underlying: Common Stock · 12,200 shares Expires not disclosed F1 · derivative.exercise_price: 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. F1 · 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. Read SEC document |
| January 02, 2015 Filed Dec 16, 2016 21:46 UTC Amendment |
JOHRI AKHILExecutive VP & CFO
|
GrantRestricted Stock Units · Derivative | 12,200 | $115.04 | $1,403,488.00 |
DisclosureSEC source: 0000101829-16-000095 · primary_doc.xml · derivative · entry 1 JOHRI AKHIL · CIK 0001517450 · Executive VP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,200 Underlying: Common Stock · 12,200 shares Expires not disclosed F1 · derivative.exercise_price: Column 6 of Table II in the Form 4 filed on January 6, 2015, incorrectly stated that these Restricted Stock Units (RSUs) were exercisable on January 2, 2018. Instead, as correctly noted in footnote (1) associated with the 2015 entry, the RSUs 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 RSU represents a contingent right to receive one share of United Technologies Corporation Common Stock. F1 · derivative.exercise_date: Column 6 of Table II in the Form 4 filed on January 6, 2015, incorrectly stated that these Restricted Stock Units (RSUs) were exercisable on January 2, 2018. Instead, as correctly noted in footnote (1) associated with the 2015 entry, the RSUs 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 RSU represents a contingent right to receive one share of United Technologies Corporation Common Stock. F1 · derivative.expiration_date: Column 6 of Table II in the Form 4 filed on January 6, 2015, incorrectly stated that these Restricted Stock Units (RSUs) were exercisable on January 2, 2018. Instead, as correctly noted in footnote (1) associated with the 2015 entry, the RSUs 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 RSU represents a contingent right to receive one share of United Technologies Corporation Common Stock. Read SEC document |
| December 23, 2014 Filed Dec 29, 2014 12:59 UTC |
KANGAS EDWARD ADirector · non-executive Chairman
|
GrantPhantom Stock Unit · Derivative | 597.2187 | $117.21 | $70,000.00 |
DisclosureSEC source: 0001225208-14-025847 · doc4.xml · derivative · entry 1 KANGAS EDWARD A · CIK 0001211047 · Director · non-executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,310.1394 Underlying: Common Stock · 597.2187 shares Expires not disclosed F1 · derivative.exercise_price: Following Mr. Kangas' election as non-executive Chairman of the Board of Directors of United Technologies Corporation, the Board of Directors approved a pro rata increase to his retainer for 2014 for his service as a non-employee member of the Board. The additional compensation consists of Phantom Stock Units under the Directors Deferred Stock Unit Plan, which 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 Phantom Stock Units credited to a director's account are payable in cash as a lump sum or in installments, at the election of the director. F1 · derivative.exercise_date: Following Mr. Kangas' election as non-executive Chairman of the Board of Directors of United Technologies Corporation, the Board of Directors approved a pro rata increase to his retainer for 2014 for his service as a non-employee member of the Board. The additional compensation consists of Phantom Stock Units under the Directors Deferred Stock Unit Plan, which 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 Phantom Stock Units credited to a director's account are payable in cash as a lump sum or in installments, at the election of the director. F1 · derivative.expiration_date: Following Mr. Kangas' election as non-executive Chairman of the Board of Directors of United Technologies Corporation, the Board of Directors approved a pro rata increase to his retainer for 2014 for his service as a non-employee member of the Board. The additional compensation consists of Phantom Stock Units under the Directors Deferred Stock Unit Plan, which 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 Phantom Stock Units credited to a director's account are payable in cash as a lump sum or in installments, at the election of the director. Read SEC document |
| December 23, 2014 Filed Jan 6, 2015 22:10 UTC Amendment |
KANGAS EDWARD ADirector · non-executive Chairman
|
GrantPhantom Stock Unit · Derivative | 597.2187 | $117.21 | $70,000.00 |
DisclosureSEC source: 0001225208-15-000843 · doc4a.xml · derivative · entry 1 KANGAS EDWARD A · CIK 0001211047 · Director · non-executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,310.1394 Underlying: Common Stock · 597.2187 shares Expires not disclosed F1 · derivative.exercise_price: The previously filed footnote is hereby amended to state as follows: "Following Mr. Kangas' election as non-executive Chairman of the Board of Directors of United Technologies Corporation, the Board of Directors approved a pro rata increase to his retainer for 2014 for his service as a non-employee member of the Board. The additional compensation consists of Phantom Stock Units under the Directors Deferred Stock Unit Plan, which 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 Phantom Stock Units credited to a director's account settle in shares of UTC Common Stock as a lump sum or in installments, at the election of the director." F1 · derivative.exercise_date: The previously filed footnote is hereby amended to state as follows: "Following Mr. Kangas' election as non-executive Chairman of the Board of Directors of United Technologies Corporation, the Board of Directors approved a pro rata increase to his retainer for 2014 for his service as a non-employee member of the Board. The additional compensation consists of Phantom Stock Units under the Directors Deferred Stock Unit Plan, which 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 Phantom Stock Units credited to a director's account settle in shares of UTC Common Stock as a lump sum or in installments, at the election of the director." F1 · derivative.expiration_date: The previously filed footnote is hereby amended to state as follows: "Following Mr. Kangas' election as non-executive Chairman of the Board of Directors of United Technologies Corporation, the Board of Directors approved a pro rata increase to his retainer for 2014 for his service as a non-employee member of the Board. The additional compensation consists of Phantom Stock Units under the Directors Deferred Stock Unit Plan, which 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 Phantom Stock Units credited to a director's account settle in shares of UTC Common Stock as a lump sum or in installments, at the election of the director." Read SEC document |
| December 15, 2014 Filed Dec 16, 2014 22:12 UTC |
ROGAN THOMAS IVice President, Treasurer
|
Exercise / conversionNon-Qualified Stock Option (right to buy) · Derivative | 21,300 | $0.00 Strike: $51.50 | $0.00 |
DisclosureSEC source: 0001225208-14-025252 · doc4.xml · derivative · entry 6 ROGAN THOMAS I · CIK 0001184192 · Vice President, Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 21,300 shares Expires 2015-01-02 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| December 15, 2014 Filed Dec 16, 2014 22:12 UTC |
ROGAN THOMAS IVice President, Treasurer
|
Tax withholdingCommon Stock | 9,782 | $112.15 | $1,097,051.30 |
DisclosureSEC source: 0001225208-14-025252 · doc4.xml · nonDerivative · entry 3 ROGAN THOMAS I · CIK 0001184192 · Vice President, Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,421 Read SEC document |
| December 15, 2014 Filed Dec 16, 2014 22:12 UTC |
ROGAN THOMAS IVice President, Treasurer
|
Tax withholdingCommon Stock | 5,609 | $112.15 | $629,049.35 |
DisclosureSEC source: 0001225208-14-025252 · doc4.xml · nonDerivative · entry 2 ROGAN THOMAS I · CIK 0001184192 · Vice President, Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,203 Read SEC document |
| December 15, 2014 Filed Dec 16, 2014 22:12 UTC |
ROGAN THOMAS IVice President, Treasurer
|
Exercise / conversionCommon Stock | 21,300 | $51.50 | $1,096,950.00 |
DisclosureSEC source: 0001225208-14-025252 · doc4.xml · nonDerivative · entry 1 ROGAN THOMAS I · CIK 0001184192 · Vice President, Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,812 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 06, 2014 Filed Nov 10, 2014 22:19 UTC |
GORELICK JAMIE SDirector
|
GiftCommon Stock | 2,763 | $108.31 | $299,246.72 |
DisclosureSEC source: 0001225208-14-023005 · doc4.xml · nonDerivative · entry 1 GORELICK JAMIE S · CIK 0001184176 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,834.9246 Read SEC document |
| October 31, 2014 Filed Nov 3, 2014 22:06 UTC |
GORELICK JAMIE SDirector
|
Exercise / conversionNon-Qualified Stock Option (right to buy) · Derivative | 6,000 | $0.00 Strike: $50.53 | $0.00 |
DisclosureSEC source: 0001225208-14-022469 · doc4.xml · derivative · entry 8 GORELICK JAMIE S · CIK 0001184176 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 6,000 shares Expires 2015-04-12 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| October 31, 2014 Filed Nov 3, 2014 22:06 UTC |
GORELICK JAMIE SDirector
|
Exercise / conversionNon-Qualified Stock Option (right to buy) · Derivative | 7,400 | $0.00 Strike: $51.50 | $0.00 |
DisclosureSEC source: 0001225208-14-022469 · doc4.xml · derivative · entry 7 GORELICK JAMIE S · CIK 0001184176 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,400 shares Expires 2015-01-02 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| October 31, 2014 Filed Nov 3, 2014 22:06 UTC |
GORELICK JAMIE SDirector
|
SaleCommon Stock | 7,400 | $107.35 | $794,375.94 |
DisclosureSEC source: 0001225208-14-022469 · doc4.xml · nonDerivative · entry 4 GORELICK JAMIE S · CIK 0001184176 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,650.9246 F1 · price: The price reported in column 4 is a weighted average price. These shares were sold at prices ranging from 107.341 to 107.421. Upon request UTC will provide full information as to shares sold at each separate price. Read SEC document |
| October 31, 2014 Filed Nov 3, 2014 22:06 UTC |
GORELICK JAMIE SDirector
|
SaleCommon Stock | 6,000 | $107.35 | $644,088.60 |
DisclosureSEC source: 0001225208-14-022469 · doc4.xml · nonDerivative · entry 3 GORELICK JAMIE S · CIK 0001184176 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,050.9246 F1 · price: The price reported in column 4 is a weighted average price. These shares were sold at prices ranging from 107.341 to 107.421. Upon request UTC will provide full information as to shares sold at each separate price. Read SEC document |
| October 31, 2014 Filed Nov 3, 2014 22:06 UTC |
GORELICK JAMIE SDirector
|
Exercise / conversionCommon Stock | 6,000 | $50.53 | $303,150.00 |
DisclosureSEC source: 0001225208-14-022469 · doc4.xml · nonDerivative · entry 2 GORELICK JAMIE S · CIK 0001184176 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,050.9246 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| October 31, 2014 Filed Nov 3, 2014 22:06 UTC |
GORELICK JAMIE SDirector
|
Exercise / conversionCommon Stock | 7,400 | $51.50 | $381,100.00 |
DisclosureSEC source: 0001225208-14-022469 · doc4.xml · nonDerivative · entry 1 GORELICK JAMIE S · CIK 0001184176 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,050.9246 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| August 22, 2014 Filed Aug 26, 2014 21:13 UTC |
DARNIS GERAUDPres. & CEO, UTC Bldg. & Ind.
|
Exercise / conversionNon-Qualified Stock Option (right to buy) · Derivative | 50,000 | $0.00 Strike: $51.50 | $0.00 |
DisclosureSEC source: 0001225208-14-019138 · doc4.xml · derivative · entry 7 DARNIS GERAUD · CIK 0001184185 · Pres. & CEO, UTC Bldg. & Ind. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 50,000 shares Expires 2015-01-02 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| August 22, 2014 Filed Aug 26, 2014 21:13 UTC |
DARNIS GERAUDPres. & CEO, UTC Bldg. & Ind.
|
SaleCommon Stock | 50,000 | $109.45 | $5,472,300.00 |
DisclosureSEC source: 0001225208-14-019138 · doc4.xml · nonDerivative · entry 2 DARNIS GERAUD · CIK 0001184185 · Pres. & CEO, UTC Bldg. & Ind. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 138,243.4326 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold at prices ranging from $109. 37 to $109.54. Upon request UTC will provide full information as to shares sold at each separate price. Read SEC document |
| August 22, 2014 Filed Aug 26, 2014 21:13 UTC |
DARNIS GERAUDPres. & CEO, UTC Bldg. & Ind.
|
Exercise / conversionCommon Stock | 50,000 | $51.50 | $2,575,000.00 |
DisclosureSEC source: 0001225208-14-019138 · doc4.xml · nonDerivative · entry 1 DARNIS GERAUD · CIK 0001184185 · Pres. & CEO, UTC Bldg. & Ind. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 188,243.4326 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.