RTX

SEC source: 0001225208-08-016433 · doc4.xml · nonDerivative · entry 1

WHITMAN CHRISTINE TODD · CIK 0001271384 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse's IRA

Disclosed balance after: 400

SEC source: 0001225208-08-016434 · doc4.xml · derivative · entry 1

DOKKUM JAN VAN · CIK 0001270743 · President, UTC Power

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,109.3025

Underlying: Common Stock · 25.3807 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.exercise_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.expiration_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

SEC source: 0001225208-08-016082 · doc4.xml · nonDerivative · entry 1

Hess David P · CIK 0001304945 · President, Hamilton Sundstrand

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,416

F1 · shares: Shares surrendered to Company for taxes on vesting of 10,000 shares of restricted stock previously granted on October 8, 2004.

SEC source: 0001225208-08-016085 · doc4.xml · derivative · entry 10

DAVID GEORGE AL · CIK 0001184174 · Director · Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 800,000 shares

Expires 2009-01-03

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

SEC source: 0001225208-08-016085 · doc4.xml · nonDerivative · entry 6

DAVID GEORGE AL · CIK 0001184174 · Director · Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,841,136

F1 · balance_after: The reporting person also directly owns 97,064 shares of United Technologies Career Restricted Common Stock.

SEC source: 0001225208-08-016085 · doc4.xml · nonDerivative · entry 5

DAVID GEORGE AL · CIK 0001184174 · Director · Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,307,357

SEC source: 0001225208-08-016085 · doc4.xml · nonDerivative · entry 4

DAVID GEORGE AL · CIK 0001184174 · Director · Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,446,172

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: 0001225208-08-015681 · doc4.xml · derivative · entry 1

DOKKUM JAN VAN · CIK 0001270743 · President, UTC Power

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,083.9218

Underlying: Common Stock · 20.8125 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.exercise_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.expiration_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

SEC source: 0001225208-08-014864 · doc4.xml · derivative · entry 1

DOKKUM JAN VAN · CIK 0001270743 · President, UTC Power

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,063.1093

Underlying: Common Stock · 19.8035 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.exercise_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.expiration_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

SEC source: 0001225208-08-014635 · doc4.xml · nonDerivative · entry 1

FINGER STEPHEN N · CIK 0001252946 · President, Pratt & Whitney

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,031

F1 · shares: Shares surrendered to Company for taxes on vesting of 40,000 shares of restricted stock previously granted on March 8, 2006.

F2 · balance_after: The reporting person also directly owns 5,600 shares of United Technologies Career Restricted Common Stock.

SEC source: 0001225208-08-014309 · doc4.xml · derivative · entry 1

DOKKUM JAN VAN · CIK 0001270743 · President, UTC Power

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,007.9858

Underlying: Common Stock · 19.0578 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.exercise_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.expiration_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

SEC source: 0001225208-08-013864 · doc4.xml · derivative · entry 1

DOKKUM JAN VAN · CIK 0001270743 · President, UTC Power

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,988.928

Underlying: Common Stock · 18.7126 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.exercise_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.expiration_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

SEC source: 0001225208-08-013259 · doc4.xml · derivative · entry 5

FINGER STEPHEN N · CIK 0001252946 · President, Pratt & Whitney

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 40,000 shares

Expires 2009-01-03

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

SEC source: 0001225208-08-013259 · doc4.xml · nonDerivative · entry 3

FINGER STEPHEN N · CIK 0001252946 · President, Pratt & Whitney

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,635

F1 · balance_after: The reporting person also directly owns 5,600 shares of United Technologies Career Restricted Common Stock and 40,000 shares of Restricted Common Stock.

SEC source: 0001225208-08-013259 · doc4.xml · nonDerivative · entry 2

FINGER STEPHEN N · CIK 0001252946 · President, Pratt & Whitney

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,114

SEC source: 0001225208-08-013259 · doc4.xml · nonDerivative · entry 1

FINGER STEPHEN N · CIK 0001252946 · President, Pratt & Whitney

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,892

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: 0001225208-08-012982 · doc4.xml · derivative · entry 1

DOKKUM JAN VAN · CIK 0001270743 · President, UTC Power

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,970.2154

Underlying: Common Stock · 19.5374 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.exercise_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.expiration_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

SEC source: 0001225208-08-012414 · doc4.xml · derivative · entry 6

Brown William M · CIK 0001350633 · President, UTC Fire & Security

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

Underlying: Common Stock · 12,000 shares

Expires 2009-01-03

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

SEC source: 0001225208-08-012414 · doc4.xml · nonDerivative · entry 4

Brown William M · CIK 0001350633 · President, UTC Fire & Security

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

SEC source: 0001225208-08-012414 · doc4.xml · nonDerivative · entry 3

Brown William M · CIK 0001350633 · President, UTC Fire & Security

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,000

SEC source: 0001225208-08-012414 · doc4.xml · nonDerivative · entry 2

Brown William M · CIK 0001350633 · President, UTC Fire & Security

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,000

SEC source: 0001225208-08-012414 · doc4.xml · nonDerivative · entry 1

Brown William M · CIK 0001350633 · President, UTC Fire & Security

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

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

SEC source: 0001225208-08-012076 · doc4.xml · derivative · entry 1

DOKKUM JAN VAN · CIK 0001270743 · President, UTC Power

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,950.678

Underlying: Common Stock · 20.8056 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.exercise_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.expiration_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

SEC source: 0001225208-08-011429 · doc4.xml · derivative · entry 1

DOKKUM JAN VAN · CIK 0001270743 · President, UTC Power

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,929.8724

Underlying: Common Stock · 20.2593 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.exercise_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.expiration_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

SEC source: 0001225208-08-010461 · doc4.xml · derivative · entry 1

DOKKUM JAN VAN · CIK 0001270743 · President, UTC Power

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,909.6131

Underlying: Common Stock · 18.2322 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.exercise_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.expiration_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

SEC source: 0001225208-08-009924 · doc4.xml · derivative · entry 1

Michaud-Daniel Didier · CIK 0001435575 · President, Otis Elevator

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,338

Underlying: Common Stock · 12,338 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.

F1 · 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.

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.

SEC source: 0001225208-08-009890 · doc4.xml · derivative · entry 1

DOKKUM JAN VAN · CIK 0001270743 · President, UTC Power

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,858.7457

Underlying: Common Stock · 17.5958 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.exercise_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.expiration_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

SEC source: 0001225208-08-008900 · doc4.xml · derivative · entry 1

DOKKUM JAN VAN · CIK 0001270743 · President, UTC Power

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,841.1499

Underlying: Common Stock · 16.826 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.exercise_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.expiration_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

SEC source: 0001225208-08-008449 · doc4.xml · derivative · entry 1

BOUSBIB ARI · CIK 0001184180 · Pres., Commercial & UTC EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,000

Underlying: Common Stock · 115,000 shares

Expires 2018-05-11

F1 · derivative.exercise_date: 50% of the stock appreciation rights become exercisable on 5/12/2011 and the remaining 50% become exercisable on 5/12/2012.

SEC source: 0001181431-08-028291 · rrd205091.xml · derivative · entry 1

DOKKUM JAN VAN · CIK 0001270743 · President, UTC Power

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,824.324

Underlying: Common Stock · 17.2485 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.exercise_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.expiration_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

SEC source: 0001225208-08-007101 · doc4.xml · nonDerivative · entry 6

DARNIS GERAUD · CIK 0001184185 · President, Carrier Corporation

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,212.3696

SEC source: 0001225208-08-007101 · doc4.xml · nonDerivative · entry 5

DARNIS GERAUD · CIK 0001184185 · President, Carrier Corporation

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,512.3696

SEC source: 0001225208-08-007101 · doc4.xml · nonDerivative · entry 4

DARNIS GERAUD · CIK 0001184185 · President, Carrier Corporation

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,134.3696

SEC source: 0001225208-08-007101 · doc4.xml · derivative · entry 8

DARNIS GERAUD · CIK 0001184185 · President, Carrier Corporation

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,000

Underlying: Common Stock · 40,000 shares

Expires 2013-01-01

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

SEC source: 0001225208-08-007101 · doc4.xml · nonDerivative · entry 3

DARNIS GERAUD · CIK 0001184185 · President, Carrier Corporation

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,834.3696

SEC source: 0001225208-08-007101 · doc4.xml · nonDerivative · entry 2

DARNIS GERAUD · CIK 0001184185 · President, Carrier Corporation

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,483.3696

SEC source: 0001225208-08-007101 · doc4.xml · nonDerivative · entry 1

DARNIS GERAUD · CIK 0001184185 · President, Carrier Corporation

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,212.3696

SEC source: 0001225208-08-006719 · doc4.xml · derivative · entry 1

DOKKUM JAN VAN · CIK 0001270743 · President, UTC Power

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,807.0754

Underlying: Common Stock · 17.6454 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.exercise_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.expiration_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

SEC source: 0001225208-08-006523 · doc4.xml · derivative · entry 1

MCCORMICK RICHARD D · CIK 0001017985 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,551.3663

Underlying: Common Stock · 3,671.7978 shares

Expires not disclosed

F1 · derivative.exercise_price: Consists of Phantom Stock Units acquired by the reporting person in respect of his/her annual retainer for services 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 his/her annual retainer for services 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 his/her annual retainer for services 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: 0001225208-08-006524 · doc4.xml · derivative · entry 1

WHITMAN CHRISTINE TODD · CIK 0001271384 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,783.1827

Underlying: Common Stock · 1,948.8773 shares

Expires not disclosed

F1 · derivative.exercise_price: Consists of Phantom Stock Units acquired by the reporting person in respect of his/her annual retainer for services 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 his/her annual retainer for services 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 his/her annual retainer for services 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: 0001225208-08-006525 · doc4.xml · derivative · entry 1

GARNIER JEAN PIERRE · CIK 0001184175 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,172.9044

Underlying: Common Stock · 3,248.1288 shares

Expires not disclosed

F1 · derivative.exercise_price: Consists of Phantom Stock Units acquired by the reporting person in respect of his/her annual retainer for services 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 his/her annual retainer for services 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 his/her annual retainer for services 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: 0001225208-08-006526 · doc4.xml · derivative · entry 1

LEE CHARLES R · CIK 0001187373 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,634.0143

Underlying: Common Stock · 1,948.8773 shares

Expires not disclosed

F1 · derivative.exercise_price: Consists of Phantom Stock Units acquired by the reporting person in respect of his/her annual retainer for services 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 his/her annual retainer for services 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 his/her annual retainer for services 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: 0001225208-08-006527 · doc4.xml · derivative · entry 1

FARACI JOHN V · CIK 0001189930 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,117.5539

Underlying: Common Stock · 3,671.7978 shares

Expires not disclosed

F1 · derivative.exercise_price: Consists of Phantom Stock Units acquired by the reporting person in respect of his/her annual retainer for services 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 his/her annual retainer for services 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 his/her annual retainer for services 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: 0001225208-08-006528 · doc4.xml · derivative · entry 1

GORELICK JAMIE S · CIK 0001184176 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,352.2335

Underlying: Common Stock · 3,106.9058 shares

Expires not disclosed

F1 · derivative.exercise_price: Consists of Phantom Stock Units acquired by the reporting person in respect of his/her annual retainer for services 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 his/her annual retainer for services 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 his/her annual retainer for services 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: 0001225208-08-006529 · doc4.xml · derivative · entry 1

MCGRAW HAROLD III · CIK 0001191761 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,485.7

Underlying: Common Stock · 3,106.9058 shares

Expires not disclosed

F1 · derivative.exercise_price: Consists of Phantom Stock Units acquired by the reporting person in respect of his/her annual retainer for services 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 his/her annual retainer for services 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 his/her annual retainer for services 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: 0001225208-08-006530 · doc4.xml · derivative · entry 1

MYERS RICHARD B · CIK 0001356702 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,906.5761

Underlying: Common Stock · 2,118.3449 shares

Expires not disclosed

F1 · derivative.exercise_price: Consists of Phantom Stock Units acquired by the reporting person in respect of his/her annual retainer for services 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 his/her annual retainer for services 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 his/her annual retainer for services 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: 0001225208-08-006531 · doc4.xml · derivative · entry 1

SWYGERT H PATRICK · CIK 0001160229 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,814.7509

Underlying: Common Stock · 3,530.5748 shares

Expires not disclosed

F1 · derivative.exercise_price: Consists of Phantom Stock Units acquired by the reporting person in respect of his/her annual retainer for services 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 his/her annual retainer for services 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 his/her annual retainer for services 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: 0001225208-08-006532 · doc4.xml · derivative · entry 1

VILLENEUVE ANDRE F H · CIK 0001140808 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,512.2819

Underlying: Common Stock · 3,530.5748 shares

Expires not disclosed

F1 · derivative.exercise_price: Consists of Phantom Stock Units acquired by the reporting person in respect of his/her annual retainer for services 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 his/her annual retainer for services 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 his/her annual retainer for services 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: 0001225208-08-006542 · doc4.xml · derivative · entry 1

Brown William M · CIK 0001350633 · President, UTC Fire & Security

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,000

Underlying: Common Stock · 120,000 shares

Expires 2018-04-08

F1 · derivative.exercise_date: 50% of the stock appreciation rights become exercisable on 04/09/2011 and the remaining 50% become exercisable on 04/09/2012.

SEC source: 0001225208-08-006543 · doc4.xml · derivative · entry 1

HAYES GREGORY · CIK 0001225946 · VP, Accounting and Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,000

Underlying: Common Stock · 90,000 shares

Expires 2018-04-08

F1 · derivative.exercise_date: 50% of the stock appreciation rights become exercisable on 04/09/2011 and the remaining 50% become exercisable on 04/09/2012.