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 |
|---|---|---|---|---|---|---|
| January 09, 2004 Filed Jan 13, 2004 22:31 UTC |
TRACHSEL WILLIAM HSVP and General Counsel
|
GrantNon-Qualified Stock Option (right to buy) · Derivative | 45,000 | $0.00 Strike: $93.52 | $0.00 |
DisclosureSEC source: 0000101829-04-000073 · tra234.xml · derivative · entry 1 TRACHSEL WILLIAM H · CIK 0001184193 · SVP and General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,000 Underlying: Common Stock · 45,000 shares Expires 2014-01-08 Read SEC document |
| January 09, 2004 Filed Jan 13, 2004 22:31 UTC |
DOKKUM JAN VANPresident, UTC Power
|
GrantNon-Qualified Stock Option (right to buy) · Derivative | 27,000 | $0.00 Strike: $93.52 | $0.00 |
DisclosureSEC source: 0000101829-04-000074 · van235.xml · derivative · entry 1 DOKKUM JAN VAN · CIK 0001270743 · President, UTC Power 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,000 Underlying: Common Stock · 27,000 shares Expires 2014-01-08 Read SEC document |
| January 02, 2004 Filed Jan 6, 2004 20:17 UTC |
BERNARD BETSY JDirector
|
GrantPhantom Stock Unit · Derivative | 635.8627 | $94.36 Strike: $0.00 | $60,000.00 |
DisclosureSEC source: 0000101829-04-000019 · ber204.xml · derivative · entry 1 BERNARD BETSY J · CIK 0001166854 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,925.9747 Underlying: Common Stock · 635.8627 shares Expires not disclosed F1 · derivative.exercise_date: Consists of Phantom Stock Units acquired at the election of the reporting person in lieu of his/her annual retainer for services as a non-employee director under a company program that permits him/her to defer receipt of the retainer. Upon termination of services on the Board of Directors, all such Phantom Stock Units are payable in cash. F1 · derivative.expiration_date: Consists of Phantom Stock Units acquired at the election of the reporting person in lieu of his/her annual retainer for services as a non-employee director under a company program that permits him/her to defer receipt of the retainer. Upon termination of services on the Board of Directors, all such Phantom Stock Units are payable in cash. Read SEC document |
| January 02, 2004 Filed Jan 6, 2004 20:17 UTC |
GARNIER JEAN PIERREDirector
|
GrantPhantom Stock Unit · Derivative | 1,165.7482 | $94.36 Strike: $0.00 | $110,000.00 |
DisclosureSEC source: 0000101829-04-000020 · gar205.xml · derivative · entry 1 GARNIER JEAN PIERRE · CIK 0001184175 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,071.5482 Underlying: Common Stock · 1,165.7482 shares Expires not disclosed F1 · derivative.exercise_date: Consists of Phantom Stock Units acquired at the election of the reporting person in lieu of his/her annual retainer for services as a non-employee director under a company program that permits him/her to defer receipt of the retainer. Upon termination of services on the Board of Directors, all such Phantom Stock Units are payable in cash. F1 · derivative.expiration_date: Consists of Phantom Stock Units acquired at the election of the reporting person in lieu of his/her annual retainer for services as a non-employee director under a company program that permits him/her to defer receipt of the retainer. Upon termination of services on the Board of Directors, all such Phantom Stock Units are payable in cash. Read SEC document |
| January 02, 2004 Filed Jan 6, 2004 20:17 UTC |
GORELICK JAMIE SDirector
|
GrantPhantom Stock Unit · Derivative | 1,324.7139 | $94.36 Strike: $0.00 | $125,000.00 |
DisclosureSEC source: 0000101829-04-000021 · gor206.xml · derivative · entry 1 GORELICK JAMIE S · CIK 0001184176 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,567.8324 Underlying: Common Stock · 1,324.7139 shares Expires not disclosed F1 · derivative.exercise_date: Consists of Phantom Stock Units acquired at the election of the reporting person in lieu of his/her annual retainer for services as a non-employee director under a company program that permits him/her to defer receipt of the retainer. Upon termination of services on the Board of Directors, all such Phantom Stock Units are payable in cash. F1 · derivative.expiration_date: Consists of Phantom Stock Units acquired at the election of the reporting person in lieu of his/her annual retainer for services as a non-employee director under a company program that permits him/her to defer receipt of the retainer. Upon termination of services on the Board of Directors, all such Phantom Stock Units are payable in cash. Read SEC document |
| January 02, 2004 Filed Jan 6, 2004 20:17 UTC |
LEE CHARLES RDirector
|
GrantPhantom Stock Unit · Derivative | 1,165.7482 | $94.36 Strike: $0.00 | $110,000.00 |
DisclosureSEC source: 0000101829-04-000022 · lee207.xml · derivative · entry 1 LEE CHARLES R · CIK 0001187373 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,413.7185 Underlying: Common Stock · 1,165.7482 shares Expires not disclosed F1 · derivative.exercise_date: Consists of Phantom Stock Units acquired at the election of the reporting person in lieu of his/her annual retainer for services as a non-employee director under a company program that permits him/her to defer receipt of the retainer. Upon termination of services on the Board of Directors, all such Phantom Stock Units are payable in cash. F1 · derivative.expiration_date: Consists of Phantom Stock Units acquired at the election of the reporting person in lieu of his/her annual retainer for services as a non-employee director under a company program that permits him/her to defer receipt of the retainer. Upon termination of services on the Board of Directors, all such Phantom Stock Units are payable in cash. Read SEC document |
| January 02, 2004 Filed Jan 6, 2004 20:18 UTC |
MCCORMICK RICHARD DDirector
|
GrantPhantom Stock Unit · Derivative | 794.8283 | $94.36 Strike: $0.00 | $75,000.00 |
DisclosureSEC source: 0000101829-04-000023 · mcc208.xml · derivative · entry 1 MCCORMICK RICHARD D · CIK 0001017985 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,258.5146 Underlying: Common Stock · 794.8283 shares Expires not disclosed F1 · derivative.exercise_date: Consists of Phantom Stock Units acquired at the election of the reporting person in lieu of his/her annual retainer for services as a non-employee director under a company program that permits him/her to defer receipt of the retainer. Upon termination of services on the Board of Directors, all such Phantom Stock Units are payable in cash. F1 · derivative.expiration_date: Consists of Phantom Stock Units acquired at the election of the reporting person in lieu of his/her annual retainer for services as a non-employee director under a company program that permits him/her to defer receipt of the retainer. Upon termination of services on the Board of Directors, all such Phantom Stock Units are payable in cash. Read SEC document |
| January 02, 2004 Filed Jan 6, 2004 20:18 UTC |
MCGRAW HAROLD IIIDirector
|
GrantPhantom Stock Unit · Derivative | 1,324.7139 | $94.36 Strike: $0.00 | $125,000.00 |
DisclosureSEC source: 0000101829-04-000024 · mcg209.xml · derivative · entry 1 MCGRAW HAROLD III · CIK 0001191761 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,740.8236 Underlying: Common Stock · 1,324.7139 shares Expires not disclosed F1 · derivative.exercise_date: Consists of Phantom Stock Units acquired at the election of the reporting person in lieu of his/her annual retainer for services as a non-employee director under a company program that permits him/her to defer receipt of the retainer. Upon termination of services on the Board of Directors, all such Phantom Stock Units are payable in cash. F1 · derivative.expiration_date: Consists of Phantom Stock Units acquired at the election of the reporting person in lieu of his/her annual retainer for services as a non-employee director under a company program that permits him/her to defer receipt of the retainer. Upon termination of services on the Board of Directors, all such Phantom Stock Units are payable in cash. Read SEC document |
| January 02, 2004 Filed Jan 6, 2004 20:18 UTC |
POPOFF FRANK PDirector
|
GrantPhantom Stock Unit · Derivative | 1,430.691 | $94.36 Strike: $0.00 | $135,000.00 |
DisclosureSEC source: 0000101829-04-000025 · pop210.xml · derivative · entry 1 POPOFF FRANK P · CIK 0001184179 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,936.5066 Underlying: Common Stock · 1,430.691 shares Expires not disclosed F1 · derivative.exercise_date: Consists of Phantom Stock Units acquired at the election of the reporting person in lieu of his/her annual retainer for services as a non-employee director under a company program that permits him/her to defer receipt of the retainer. Upon termination of services on the Board of Directors, all such Phantom Stock Units are payable in cash. F1 · derivative.expiration_date: Consists of Phantom Stock Units acquired at the election of the reporting person in lieu of his/her annual retainer for services as a non-employee director under a company program that permits him/her to defer receipt of the retainer. Upon termination of services on the Board of Directors, all such Phantom Stock Units are payable in cash. Read SEC document |
| January 02, 2004 Filed Jan 6, 2004 20:18 UTC |
SWYGERT H PATRICKDirector
|
GrantPhantom Stock Unit · Derivative | 1,059.7711 | $94.36 Strike: $0.00 | $100,000.00 |
DisclosureSEC source: 0000101829-04-000026 · swy211.xml · derivative · entry 1 SWYGERT H PATRICK · CIK 0001160229 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,966.4817 Underlying: Common Stock · 1,059.7711 shares Expires not disclosed F1 · derivative.exercise_date: Consists of Phantom Stock Units acquired at the election of the reporting person in lieu of his/her annual retainer for services as a non-employee director under a company program that permits him/her to defer receipt of the retainer. Upon termination of services on the Board of Directors, all such Phantom Stock Units are payable in cash. F1 · derivative.expiration_date: Consists of Phantom Stock Units acquired at the election of the reporting person in lieu of his/her annual retainer for services as a non-employee director under a company program that permits him/her to defer receipt of the retainer. Upon termination of services on the Board of Directors, all such Phantom Stock Units are payable in cash. Read SEC document |
| January 02, 2004 Filed Jan 6, 2004 20:18 UTC |
DOKKUM JAN VANPresident, UTC Power
|
GrantPhantom Stock Unit · Derivative | 140.6846 | $94.36 Strike: $0.00 | $13,275.00 |
DisclosureSEC source: 0000101829-04-000027 · van203.xml · derivative · entry 1 DOKKUM JAN VAN · CIK 0001270743 · President, UTC Power 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,602.1499 Underlying: Common Stock · 140.6846 shares Expires not disclosed 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. 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. Units are payable in cash following termination of employment, retirement or death. Read SEC document |
| January 02, 2004 Filed Jan 6, 2004 20:18 UTC |
VILLENEUVE ANDRE F HDirector
|
GrantPhantom Stock Unit · Derivative | 1,324.7139 | $94.36 Strike: $0.00 | $125,000.00 |
DisclosureSEC source: 0000101829-04-000028 · vil212.xml · derivative · entry 1 VILLENEUVE ANDRE F H · CIK 0001140808 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,772.625 Underlying: Common Stock · 1,324.7139 shares Expires not disclosed F1 · derivative.exercise_date: Consists of Phantom Stock Units acquired at the election of the reporting person in lieu of his/her annual retainer for services as a non-employee director under a company program that permits him/her to defer receipt of the retainer. Upon termination of services on the Board of Directors, all such Phantom Stock Units are payable in cash. F1 · derivative.expiration_date: Consists of Phantom Stock Units acquired at the election of the reporting person in lieu of his/her annual retainer for services as a non-employee director under a company program that permits him/her to defer receipt of the retainer. Upon termination of services on the Board of Directors, all such Phantom Stock Units are payable in cash. Read SEC document |
| January 02, 2004 Filed Jan 6, 2004 20:19 UTC |
WAGNER HAROLD ADirector
|
GrantPhantom Stock Unit · Derivative | 1,430.691 | $94.36 Strike: $0.00 | $135,000.00 |
DisclosureSEC source: 0000101829-04-000029 · wag213.xml · derivative · entry 1 WAGNER HAROLD A · CIK 0001185083 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,800.2912 Underlying: Common Stock · 1,430.691 shares Expires not disclosed F1 · derivative.exercise_date: Consists of Phantom Stock Units acquired at the election of the reporting person in lieu of his/her annual retainer for services as a non-employee director under a company program that permits him/her to defer receipt of the retainer. Upon termination of services on the Board of Directors, all such Phantom Stock Units are payable in cash. F1 · derivative.expiration_date: Consists of Phantom Stock Units acquired at the election of the reporting person in lieu of his/her annual retainer for services as a non-employee director under a company program that permits him/her to defer receipt of the retainer. Upon termination of services on the Board of Directors, all such Phantom Stock Units are payable in cash. Read SEC document |
| January 02, 2004 Filed Jan 6, 2004 20:19 UTC |
WHITMAN CHRISTINE TODDDirector
|
GrantPhantom Stock Unit · Derivative | 635.8627 | $94.36 Strike: $0.00 | $60,000.00 |
DisclosureSEC source: 0000101829-04-000030 · whi214.xml · derivative · entry 1 WHITMAN CHRISTINE TODD · CIK 0001271384 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,315.5953 Underlying: Common Stock · 635.8627 shares Expires not disclosed F1 · derivative.exercise_date: Consists of Phantom Stock Units acquired at the election of the reporting person in lieu of his/her annual retainer for services as a non-employee director under a company program that permits him/her to defer receipt of the retainer. Upon termination of services on the Board of Directors, all such Phantom Stock Units are payable in cash. F1 · derivative.expiration_date: Consists of Phantom Stock Units acquired at the election of the reporting person in lieu of his/her annual retainer for services as a non-employee director under a company program that permits him/her to defer receipt of the retainer. Upon termination of services on the Board of Directors, all such Phantom Stock Units are payable in cash. Read SEC document |
| January 02, 2004 Filed Jan 6, 2004 21:30 UTC |
DAVID GEORGE ALDirector · Chairman and CEO
|
Exercise / conversionNon-Qualified Stock Option (right to buy) · Derivative | 200,000 | $0.00 Strike: $19.56 | $0.00 |
DisclosureSEC source: 0000101829-04-000032 · dav215.xml · derivative · entry 7 DAVID GEORGE AL · CIK 0001184174 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 600,000 Underlying: Common Stock · 200,000 shares Expires 2005-06-27 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 |
| January 02, 2004 Filed Jan 6, 2004 21:30 UTC |
DAVID GEORGE ALDirector · Chairman and CEO
|
Tax withholdingCommon Stock | 49,917 | $94.36 | $4,710,168.12 |
DisclosureSEC source: 0000101829-04-000032 · dav215.xml · nonDerivative · entry 5 DAVID GEORGE AL · CIK 0001184174 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 727,352 F1 · balance_after: The reporting person also directly owns 48,532 shares of United Technologies Career Restricted Common Stock. Read SEC document |
| January 02, 2004 Filed Jan 6, 2004 21:30 UTC |
DAVID GEORGE ALDirector · Chairman and CEO
|
Tax withholdingCommon Stock | 41,464 | $94.36 | $3,912,543.04 |
DisclosureSEC source: 0000101829-04-000032 · dav215.xml · nonDerivative · entry 4 DAVID GEORGE AL · CIK 0001184174 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 777,269 Read SEC document |
| January 02, 2004 Filed Jan 6, 2004 21:30 UTC |
DAVID GEORGE ALDirector · Chairman and CEO
|
Exercise / conversionCommon Stock | 200,000 | $19.56 | $3,912,500.00 |
DisclosureSEC source: 0000101829-04-000032 · dav215.xml · nonDerivative · entry 3 DAVID GEORGE AL · CIK 0001184174 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 818,733 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 31, 2003 Filed Jan 2, 2004 21:37 UTC |
HARKIN RUTH RSVP Intl Affairs & Gov't Rltns
|
GrantPhantom Stock Unit · Derivative | 7.0346 | $94.77 Strike: $0.00 | $666.67 |
DisclosureSEC source: 0000101829-04-000002 · har198.xml · derivative · entry 1 HARKIN RUTH R · CIK 0001184189 · SVP Intl Affairs & Gov't Rltns 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,289.8463 Underlying: Common Stock · 7.0346 shares Expires not disclosed 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. 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. Units are payable in cash following termination of employment, retirement or death. Read SEC document |
| December 31, 2003 Filed Jan 2, 2004 21:44 UTC |
DOKKUM JAN VANPresident, UTC Power
|
GrantPhantom Stock Unit · Derivative | 18.6857 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000101829-04-000006 · van202.xml · derivative · entry 1 DOKKUM JAN VAN · CIK 0001270743 · President, UTC Power 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,461.4653 Underlying: Common Stock · 18.6857 shares Expires not disclosed 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. 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. Units are payable in cash following termination of employment, retirement or death. Read SEC document |
| December 23, 2003 Filed Dec 24, 2003 16:32 UTC |
PAGE STEPHEN FDirector · Vice Chairman & CFO
|
SaleCommon Stock | 26,093 | $95.02 | $2,479,474.28 |
DisclosureSEC source: 0000101829-03-000397 · pag197.xml · nonDerivative · entry 2 PAGE STEPHEN F · CIK 0001184178 · Director · Vice Chairman & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 78,903 F1 · balance_after: The reporting person also directly owns 6,384 shares of United Technologies Career Restricted Common Stock and 25,000 shares of Restricted Common Stock. Read SEC document |
| December 22, 2003 Filed Dec 23, 2003 17:50 UTC |
CASSIDY JOHN F JRSVP, Science & Technology
|
SaleCommon Stock | 3,200 | $94.92 | $303,744.00 |
DisclosureSEC source: 0000101829-03-000395 · cas196.xml · nonDerivative · entry 4 CASSIDY JOHN F JR · CIK 0001184183 · SVP, Science & Technology 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 6,085 Read SEC document |
| December 22, 2003 Filed Dec 23, 2003 17:50 UTC |
CASSIDY JOHN F JRSVP, Science & Technology
|
SaleCommon Stock | 1,876 | $94.93 | $178,088.68 |
DisclosureSEC source: 0000101829-03-000395 · cas196.xml · nonDerivative · entry 3 CASSIDY JOHN F JR · CIK 0001184183 · SVP, Science & Technology 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 9,285 Read SEC document |
| December 22, 2003 Filed Dec 24, 2003 16:32 UTC |
PAGE STEPHEN FDirector · Vice Chairman & CFO
|
SaleCommon Stock | 15,000 | $93.78 | $1,406,700.00 |
DisclosureSEC source: 0000101829-03-000397 · pag197.xml · nonDerivative · entry 1 PAGE STEPHEN F · CIK 0001184178 · Director · Vice Chairman & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 104,996 F1 · balance_after: The reporting person also directly owns 6,384 shares of United Technologies Career Restricted Common Stock and 25,000 shares of Restricted Common Stock. Read SEC document |
| December 19, 2003 Filed Dec 23, 2003 17:50 UTC |
CASSIDY JOHN F JRSVP, Science & Technology
|
Exercise / conversionNon-Qualified Stock Option (right to buy) · Derivative | 15,000 | $0.00 Strike: $34.50 | $0.00 |
DisclosureSEC source: 0000101829-03-000395 · cas196.xml · derivative · entry 7 CASSIDY JOHN F JR · CIK 0001184183 · SVP, Science & Technology 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 0 Underlying: Common Stock · 15,000 shares Expires 2007-02-02 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 19, 2003 Filed Dec 23, 2003 17:50 UTC |
CASSIDY JOHN F JRSVP, Science & Technology
|
Tax withholdingCommon Stock | 3,938 | $94.10 | $370,565.80 |
DisclosureSEC source: 0000101829-03-000395 · cas196.xml · nonDerivative · entry 2 CASSIDY JOHN F JR · CIK 0001184183 · SVP, Science & Technology 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 11,161 Read SEC document |
| December 19, 2003 Filed Dec 23, 2003 17:50 UTC |
CASSIDY JOHN F JRSVP, Science & Technology
|
Exercise / conversionCommon Stock | 15,000 | $34.50 | $517,500.00 |
DisclosureSEC source: 0000101829-03-000395 · cas196.xml · nonDerivative · entry 1 CASSIDY JOHN F JR · CIK 0001184183 · SVP, Science & Technology 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 15,099 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 19, 2003 Filed Jan 6, 2004 21:30 UTC |
DAVID GEORGE ALDirector · Chairman and CEO
|
GiftCommon Stock | 110 | $0.00 | $0.00 |
DisclosureSEC source: 0000101829-04-000032 · dav215.xml · nonDerivative · entry 2 DAVID GEORGE AL · CIK 0001184174 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 618,733 Read SEC document |
| December 17, 2003 Filed Dec 18, 2003 20:41 UTC |
CASSIDY JOHN F JRSVP, Science & Technology
|
SaleCommon Stock | 500 | $93.19 | $46,595.00 |
DisclosureSEC source: 0000101829-03-000393 · cas194.xml · nonDerivative · entry 5 CASSIDY JOHN F JR · CIK 0001184183 · SVP, Science & Technology 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 99 Read SEC document |
| December 17, 2003 Filed Dec 18, 2003 20:41 UTC |
CASSIDY JOHN F JRSVP, Science & Technology
|
SaleCommon Stock | 2,200 | $93.26 | $205,172.00 |
DisclosureSEC source: 0000101829-03-000393 · cas194.xml · nonDerivative · entry 4 CASSIDY JOHN F JR · CIK 0001184183 · SVP, Science & Technology 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 599 Read SEC document |
| December 17, 2003 Filed Dec 18, 2003 20:41 UTC |
CASSIDY JOHN F JRSVP, Science & Technology
|
SaleCommon Stock | 6,800 | $93.15 | $633,420.00 |
DisclosureSEC source: 0000101829-03-000393 · cas194.xml · nonDerivative · entry 3 CASSIDY JOHN F JR · CIK 0001184183 · SVP, Science & Technology 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 2,799 Read SEC document |
| December 16, 2003 Filed Dec 18, 2003 20:41 UTC |
CASSIDY JOHN F JRSVP, Science & Technology
|
Exercise / conversionNon-Qualified Stock Option (right to buy) · Derivative | 13,000 | $0.00 Strike: $34.50 | $0.00 |
DisclosureSEC source: 0000101829-03-000393 · cas194.xml · derivative · entry 8 CASSIDY JOHN F JR · CIK 0001184183 · SVP, Science & Technology 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 15,000 Underlying: Common Stock · 13,000 shares Expires 2007-02-02 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 16, 2003 Filed Dec 18, 2003 20:41 UTC |
CASSIDY JOHN F JRSVP, Science & Technology
|
Tax withholdingCommon Stock | 3,401 | $93.52 | $318,061.52 |
DisclosureSEC source: 0000101829-03-000393 · cas194.xml · nonDerivative · entry 2 CASSIDY JOHN F JR · CIK 0001184183 · SVP, Science & Technology 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 9,599 Read SEC document |
| December 16, 2003 Filed Dec 18, 2003 20:41 UTC |
CASSIDY JOHN F JRSVP, Science & Technology
|
Exercise / conversionCommon Stock | 13,000 | $34.50 | $448,500.00 |
DisclosureSEC source: 0000101829-03-000393 · cas194.xml · nonDerivative · entry 1 CASSIDY JOHN F JR · CIK 0001184183 · SVP, Science & Technology 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 13,000 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. Read SEC document |
| December 16, 2003 Filed Jan 6, 2004 21:30 UTC |
DAVID GEORGE ALDirector · Chairman and CEO
|
GiftCommon Stock | 545 | $0.00 | $0.00 |
DisclosureSEC source: 0000101829-04-000032 · dav215.xml · nonDerivative · entry 1 DAVID GEORGE AL · CIK 0001184174 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 618,843 Read SEC document |
| December 15, 2003 Filed Dec 16, 2003 21:24 UTC |
HARKIN RUTH RSVP Intl Affairs & Gov't Rltns
|
GrantPhantom Stock Unit · Derivative | 7.282 | $91.55 Strike: $0.00 | $666.67 |
DisclosureSEC source: 0000101829-03-000386 · har191.xml · derivative · entry 1 HARKIN RUTH R · CIK 0001184189 · SVP Intl Affairs & Gov't Rltns 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,282.8117 Underlying: Common Stock · 7.282 shares Expires not disclosed 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. 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. Units are payable in cash following termination of employment, retirement or death. Read SEC document |
| December 15, 2003 Filed Dec 16, 2003 21:42 UTC |
DOKKUM JAN VANPresident, UTC Power
|
GrantPhantom Stock Unit · Derivative | 19.3429 | $91.55 Strike: $0.00 | $1,770.84 |
DisclosureSEC source: 0000101829-03-000388 · van192.xml · derivative · entry 2 DOKKUM JAN VAN · CIK 0001270743 · President, UTC Power 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,275.4535 Underlying: Common Stock · 19.3429 shares Expires not disclosed 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. 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. Units are payable in cash following termination of employment, retirement or death. Read SEC document |
| December 15, 2003 Filed Dec 17, 2003 21:52 UTC |
PAGE STEPHEN FDirector · Vice Chairman & CFO
|
Exercise / conversionNon-Qualified Stock Option (right to buy) · Derivative | 65,000 | $0.00 Strike: $37.94 | $0.00 |
DisclosureSEC source: 0000101829-03-000391 · pag193.xml · derivative · entry 5 PAGE STEPHEN F · CIK 0001184178 · Director · Vice Chairman & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 215,000 Underlying: Common Stock · 65,000 shares Expires 2007-02-24 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, 2003 Filed Dec 17, 2003 21:52 UTC |
PAGE STEPHEN FDirector · Vice Chairman & CFO
|
Tax withholdingCommon Stock | 11,971 | $91.55 | $1,095,945.05 |
DisclosureSEC source: 0000101829-03-000391 · pag193.xml · nonDerivative · entry 3 PAGE STEPHEN F · CIK 0001184178 · Director · Vice Chairman & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 119,996 Read SEC document |
| December 15, 2003 Filed Dec 17, 2003 21:52 UTC |
PAGE STEPHEN FDirector · Vice Chairman & CFO
|
Tax withholdingCommon Stock | 26,936 | $91.55 | $2,465,990.80 |
DisclosureSEC source: 0000101829-03-000391 · pag193.xml · nonDerivative · entry 2 PAGE STEPHEN F · CIK 0001184178 · Director · Vice Chairman & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 131,967 Read SEC document |
| December 15, 2003 Filed Dec 17, 2003 21:52 UTC |
PAGE STEPHEN FDirector · Vice Chairman & CFO
|
Exercise / conversionCommon Stock | 65,000 | $37.94 | $2,465,937.50 |
DisclosureSEC source: 0000101829-03-000391 · pag193.xml · nonDerivative · entry 1 PAGE STEPHEN F · CIK 0001184178 · Director · Vice Chairman & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 158,903 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 10, 2003 Filed Dec 12, 2003 21:29 UTC |
WHITMAN CHRISTINE TODDDirector
|
GrantPhantom Stock Unit · Derivative | 679.7326 | $88.27 Strike: $0.00 | $60,000.00 |
DisclosureSEC source: 0000101829-03-000378 · whi189.xml · derivative · entry 2 WHITMAN CHRISTINE TODD · CIK 0001271384 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 679.7326 Underlying: Common Stock · 679.7326 shares Expires not disclosed F1 · derivative.exercise_date: Consists of Phantom Stock Units acquired at the election of the reporting person in lieu of his/her annual retainer for services as a non-employee director under a company program that permits him/her to defer receipt of the retainer. Upon termination of services on the Board of Directors, all such Phantom Stock Units are payable in cash. F1 · derivative.expiration_date: Consists of Phantom Stock Units acquired at the election of the reporting person in lieu of his/her annual retainer for services as a non-employee director under a company program that permits him/her to defer receipt of the retainer. Upon termination of services on the Board of Directors, all such Phantom Stock Units are payable in cash. Read SEC document |
| December 10, 2003 Filed Dec 12, 2003 21:29 UTC |
WHITMAN CHRISTINE TODDDirector
|
GrantRestricted Stock Units · Derivative | 1,132.8877 | $88.27 Strike: $0.00 | $100,000.00 |
DisclosureSEC source: 0000101829-03-000378 · whi189.xml · derivative · entry 1 WHITMAN CHRISTINE TODD · CIK 0001271384 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,132.8877 Underlying: Common Stock · 1,132.8877 shares Expires not disclosed F2 · derivative.exercise_date: Consists of a one-time grant of deferred Restricted Stock Units awarded on the date of election. Vesting occurs over a five year period. Upon termination of services on the Board of Directors, all such deferred Restricted Stock Units are payable in cash. F2 · derivative.expiration_date: Consists of a one-time grant of deferred Restricted Stock Units awarded on the date of election. Vesting occurs over a five year period. Upon termination of services on the Board of Directors, all such deferred Restricted Stock Units are payable in cash. Read SEC document |
| December 10, 2003 Filed Dec 12, 2003 21:40 UTC |
MCGRAW HAROLD IIIDirector
|
GrantPhantom Stock Unit · Derivative | 1,416.1097 | $88.27 Strike: $0.00 | $125,000.00 |
DisclosureSEC source: 0000101829-03-000382 · mcg187.xml · derivative · entry 2 MCGRAW HAROLD III · CIK 0001191761 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,416.1097 Underlying: Common Stock · 1,416.1097 shares Expires not disclosed F1 · derivative.exercise_date: Consists of Phantom Stock Units acquired at the election of the reporting person in lieu of his/her annual retainer for services as a non-employee director under a company program that permits him/her to defer receipt of the retainer. Upon termination of services on the Board of Directors, all such Phantom Stock Units are payable in cash. F1 · derivative.expiration_date: Consists of Phantom Stock Units acquired at the election of the reporting person in lieu of his/her annual retainer for services as a non-employee director under a company program that permits him/her to defer receipt of the retainer. Upon termination of services on the Board of Directors, all such Phantom Stock Units are payable in cash. Read SEC document |
| December 10, 2003 Filed Dec 12, 2003 21:40 UTC |
MCGRAW HAROLD IIIDirector
|
GrantRestricted Stock Units · Derivative | 1,132.8877 | $88.27 Strike: $0.00 | $100,000.00 |
DisclosureSEC source: 0000101829-03-000382 · mcg187.xml · derivative · entry 1 MCGRAW HAROLD III · CIK 0001191761 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,132.8877 Underlying: Common Stock · 1,132.8877 shares Expires not disclosed F2 · derivative.exercise_date: Consists of a one-time grant of deferred Restricted Stock Units awarded on the date of election. Vesting occurs over a five year period. Upon termination of services on the Board of Directors, all such deferred Restricted Stock Units are payable in cash. F2 · derivative.expiration_date: Consists of a one-time grant of deferred Restricted Stock Units awarded on the date of election. Vesting occurs over a five year period. Upon termination of services on the Board of Directors, all such deferred Restricted Stock Units are payable in cash. Read SEC document |
| November 26, 2003 Filed Dec 1, 2003 19:36 UTC |
HARKIN RUTH RSVP Intl Affairs & Gov't Rltns
|
GrantPhantom Stock Unit · Derivative | 7.7231 | $86.32 Strike: $0.00 | $666.66 |
DisclosureSEC source: 0000101829-03-000371 · har185.xml · derivative · entry 1 HARKIN RUTH R · CIK 0001184189 · SVP Intl Affairs & Gov't Rltns 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,254.725 Underlying: Common Stock · 7.7231 shares Expires not disclosed 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. 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. Units are payable in cash following termination of employment, retirement or death. Read SEC document |
| November 26, 2003 Filed Dec 16, 2003 21:42 UTC |
DOKKUM JAN VANPresident, UTC Power
|
GrantPhantom Stock Unit · Derivative | 20.5148 | $86.32 Strike: $0.00 | $1,770.84 |
DisclosureSEC source: 0000101829-03-000388 · van192.xml · derivative · entry 1 DOKKUM JAN VAN · CIK 0001270743 · President, UTC Power 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,256.1106 Underlying: Common Stock · 20.5148 shares Expires not disclosed 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. 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. Units are payable in cash following termination of employment, retirement or death. Read SEC document |
| November 14, 2003 Filed Nov 17, 2003 21:18 UTC |
HARKIN RUTH RSVP Intl Affairs & Gov't Rltns
|
GrantPhantom Stock Unit · Derivative | 7.761 | $85.90 Strike: $0.00 | $666.67 |
DisclosureSEC source: 0000101829-03-000367 · har184.xml · derivative · entry 1 HARKIN RUTH R · CIK 0001184189 · SVP Intl Affairs & Gov't Rltns 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,247.0019 Underlying: Common Stock · 7.761 shares Expires not disclosed 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. 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. Units are payable in cash following termination of employment, retirement or death. Read SEC document |
| November 11, 2003 Filed Nov 12, 2003 22:25 UTC |
SWYGERT H PATRICKDirector
|
SaleCommon Stock | 500 | $84.91 | $42,455.00 |
DisclosureSEC source: 0000101829-03-000365 · swy181.xml · nonDerivative · entry 1 SWYGERT H PATRICK · CIK 0001160229 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 500 Read SEC document |
| November 06, 2003 Filed Nov 7, 2003 21:51 UTC |
ROGAN THOMAS IVice President, Treasurer
|
ConversionESOP Series A Convertible Preferred Stock · Derivative | 1,115.712 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000101829-03-000356 · rog175.xml · derivative · entry 2 ROGAN THOMAS I · CIK 0001184192 · Vice President, Treasurer 10b5-1 filing: Not disclosed Ownership: Indirect · By Savings Plan Trustee Disclosed balance after: 0 Underlying: Common Stock · 4,462.848 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. F2 · security: Each share of ESOP Series A Convertible Preferred Stock is convertible into four shares of UTC Common Stock. All shares of ESOP Series A Convertible Preferred Stock are held by the Trustee for the UTC Savings Plan for the benefit of employees participating in the Savings Plan. On November 6, 2003 the Trustee exercised its right to convert all shares of ESOP Series A Convertible Preferred Stock into UTC Common Stock. F2 · kind: Each share of ESOP Series A Convertible Preferred Stock is convertible into four shares of UTC Common Stock. All shares of ESOP Series A Convertible Preferred Stock are held by the Trustee for the UTC Savings Plan for the benefit of employees participating in the Savings Plan. On November 6, 2003 the Trustee exercised its right to convert all shares of ESOP Series A Convertible Preferred Stock into UTC Common Stock. F2 · derivative.expiration_date: Each share of ESOP Series A Convertible Preferred Stock is convertible into four shares of UTC Common Stock. All shares of ESOP Series A Convertible Preferred Stock are held by the Trustee for the UTC Savings Plan for the benefit of employees participating in the Savings Plan. On November 6, 2003 the Trustee exercised its right to convert all shares of ESOP Series A Convertible Preferred Stock into UTC Common Stock. 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.