Dumais Michael R

SEC source: 0001225208-19-001614 · doc4.xml · nonDerivative · entry 1

Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,627

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

F1 · shares: The Stock Appreciation Rights (SARs) were settled in shares in accordance with terms of the award. For Section 16 reporting purposes, the exercise of SARs for stock is treated as an exempt acquisition of the shares underlying the SARs at the exercise price per share specified in the award of SARs and a simultaneous sale back to the issuer of a number of the underlying shares having a value, based on the market price of the issuer's stock on the date of the exercise, equal to the product of the number of underlying SARs times the exercise price per share.

SEC source: 0001225208-18-002910 · doc4.xml · nonDerivative · entry 2

Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,627

SEC source: 0001225208-18-002910 · doc4.xml · nonDerivative · entry 1

Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,412

F1 · shares: The acquisition of shares of UTC common stock represents the vesting of performance share units (PSUs) awarded to the reporting person on January 2, 2015, under the UTC Long-Term Incentive Plan. Each PSU has a value equal to one share of UTC common stock. The PSUs vested solely upon achievement of pre-established performance targets for UTC's earnings per share growth and total shareholder return over a three-year performance period, which ended on December 31, 2017. The performance criteria were satisfied at the 28% level.

SEC source: 0001225208-18-000670 · doc4.xml · derivative · entry 4

Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,500

Underlying: Common Stock · 43,500 shares

Expires 2028-01-01

F2 · balance_after: The reporting person was also awarded 13,100 performance share units (PSUs) under the UTC Long-Term Incentive Plan. Each PSU has a value equal to one share of UTC Common Stock. These PSUs vest solely upon achievement of pre-established performance targets for UTC's return on invested capital, earnings per share growth and total shareholder return relative to the S&P 500 index over a three-year time period.

SEC source: 0001225208-18-000670 · doc4.xml · derivative · entry 3

Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,300

Underlying: Common Stock · 5,300 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of UTC Common Stock.

F1 · derivative.expiration_date: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of UTC Common Stock.

SEC source: 0001225208-17-017044 · doc4.xml · derivative · entry 5

Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,600 shares

Expires 2021-01-02

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

SEC source: 0001225208-17-017044 · doc4.xml · nonDerivative · entry 3

Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,948

SEC source: 0001225208-17-017044 · doc4.xml · nonDerivative · entry 2

Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,562

SEC source: 0001225208-17-017044 · doc4.xml · nonDerivative · entry 1

Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,548

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

F1 · shares: The Stock Appreciation Rights (SARs) were settled in shares in accordance with terms of the award. For Section 16 reporting purposes, the exercise of SARs for stock is treated as an exempt acquisition of the shares underlying the SARs at the exercise price per share specified in the award of SARs and a simultaneous sale back to the issuer of a number of the underlying shares having a value, based on the market price of the issuer's stock on the date of the exercise, equal to the product of the number of underlying SARs times the exercise price per share.

SEC source: 0001225208-17-009050 · doc4.xml · derivative · entry 3

Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,410

Underlying: Common Stock · 8,410 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU"), including dividend equivalents, represents a contingent right to receive one share of UTC common stock.

F1 · price: Each restricted stock unit ("RSU"), including dividend equivalents, represents a contingent right to receive one share of UTC common stock.

F2 · derivative.exercise_date: The reporting person was awarded 8,410 RSUs, of which 4,205 RSUs plus accumulated dividend equivalents vest on May 1, 2019, and 4,205 RSUs plus accumulated dividend equivalents vest on May 1, 2021.

F2 · derivative.expiration_date: The reporting person was awarded 8,410 RSUs, of which 4,205 RSUs plus accumulated dividend equivalents vest on May 1, 2019, and 4,205 RSUs plus accumulated dividend equivalents vest on May 1, 2021.

SEC source: 0001225208-17-003768 · doc4.xml · derivative · entry 5

Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,600

Underlying: Common Stock · 8,600 shares

Expires 2021-01-02

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

SEC source: 0001225208-17-003768 · doc4.xml · nonDerivative · entry 3

Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,948

SEC source: 0001225208-17-003768 · doc4.xml · nonDerivative · entry 2

Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,007

F2 · price: The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $112.121 to $112.124 per share. The reporting person has provided to the issuer, and undertakes to provide to the Commission staff or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price within the range.

SEC source: 0001225208-17-003768 · doc4.xml · nonDerivative · entry 1

Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,548

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

F1 · shares: The Stock Appreciation Rights (SARs) were settled in shares in accordance with terms of the award. For Section 16 reporting purposes, the exercise of SARs for stock is treated as an exempt acquisition of the shares underlying the SARs at the exercise price per share specified in the award of SARs and a simultaneous sale back to the issuer of a number of the underlying shares having a value, based on the market price of the issuer's stock on the date of the exercise, equal to the product of the number of underlying SARs times the exercise price per share.

SEC source: 0001225208-17-002662 · doc4.xml · derivative · entry 3

Dumais Michael R · CIK 0001531769 · EVP, Operations & Strategy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,092

Underlying: Common Stock · 10,092 shares

Expires 2022-07-31

F1 · 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 became exercisable on 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 performance criteria were satisfied at the 20% level for the second 50% of the grant, resulting in the vesting of 10,092 stock appreciation rights and the cancellation of 40,368 stock appreciation rights, both as of February 6, 2017.

F1 · 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 became exercisable on 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 performance criteria were satisfied at the 20% level for the second 50% of the grant, resulting in the vesting of 10,092 stock appreciation rights and the cancellation of 40,368 stock appreciation rights, both as of February 6, 2017.

SEC source: 0001225208-17-000724 · doc4.xml · derivative · entry 4

Dumais Michael R · CIK 0001531769 · SVP, Strategic Planning

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,500

Underlying: Common Stock · 41,500 shares

Expires 2027-01-02

F2 · balance_after: The reporting person was also awarded 13,700 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 UTC's return on invested capital, earnings per share growth and total shareholder return relative to the S&P 500 index over a three-year time period.

SEC source: 0001225208-17-000724 · doc4.xml · derivative · entry 3

Dumais Michael R · CIK 0001531769 · SVP, Strategic Planning

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,500

Underlying: Common Stock · 5,500 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit (RSU), including dividend equivalents, represents a contingent right to receive one share of UTC Common Stock.

F1 · derivative.expiration_date: Each restricted stock unit (RSU), including dividend equivalents, represents a contingent right to receive one share of UTC Common Stock.

SEC source: 0001225208-16-037653 · doc4.xml · derivative · entry 5

Dumais Michael R · CIK 0001531769 · SVP, Strategic Planning

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,100 shares

Expires 2020-01-03

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

F1 · shares: The Stock Appreciation Rights (SARs) were settled in shares in accordance with terms of the award. For Section 16 reporting purposes, the exercise of SARs for stock is treated as an exempt acquisition of the shares underlying the SARs at the exercise price per share specified in the award of SARs and a simultaneous sale back to the issuer of a number of the underlying shares having a value, based on the market price of the issuer's stock on the date of the exercise, equal to the product of the number of underlying SARs times the exercise price per share.

SEC source: 0001225208-16-037653 · doc4.xml · nonDerivative · entry 3

Dumais Michael R · CIK 0001531769 · SVP, Strategic Planning

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,948

SEC source: 0001225208-16-037653 · doc4.xml · nonDerivative · entry 2

Dumais Michael R · CIK 0001531769 · SVP, Strategic Planning

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,699

SEC source: 0001225208-16-037653 · doc4.xml · nonDerivative · entry 1

Dumais Michael R · CIK 0001531769 · SVP, Strategic Planning

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,048

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

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

Dumais Michael R · CIK 0001531769 · SVP, Strategic Planning

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,948

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

Dumais Michael R · CIK 0001531769 · SVP, Strategic Planning

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,466

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

SEC source: 0001225208-16-023808 · doc4.xml · derivative · entry 3

Dumais Michael R · CIK 0001531769 · SVP, Strategic Planning

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,000

Underlying: Common Stock · 79,000 shares

Expires 2026-01-03

F1 · balance_after: The reporting person was also awarded 15,800 performance share units (PSUs) under the UTC Long Term Incentive Plan. Each PSU has a value equal to one share of UTC Common Stock. These PSUs vest solely upon achievement of pre-established performance targets for UTC's return on invested capital, earnings per share growth and total shareholder return relative to the S&P 500 index over a three-year time period.

SEC source: 0001225208-15-003593 · 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.

SEC 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

SEC 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.

SEC 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.

SEC source: 0001225208-12-018121 · doc4.xml · derivative · entry 3

Dumais Michael R · CIK 0001531769 · President, PC&SS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,327

Underlying: Common Stock · 13,327 shares

Expires not disclosed

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

F2 · derivative.exercise_date: 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.

F2 · derivative.expiration_date: The Restricted Stock Units vest on retirement from UTC on or after age 62 with a minimum of three years of service as a member of UTC's Executive Leadership Group.

SEC source: 0001225208-12-017488 · doc4.xml · derivative · entry 3

Dumais Michael R · CIK 0001531769 · President, PC&SS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,920

Underlying: Common Stock · 100,920 shares

Expires 2022-07-31

F1 · derivative.exercise_date: 50% of the stock appreciation rights become exercisable on 12/31/2014 and 50% of the stock appreciation rights become exercisable on 12/31/2016, subject to achievement of pre-established UTC Propulsion & Aerospace Systems earnings, sales, and other financial targets.

SEC source: 0001225208-12-004507 · doc4.xml · derivative · entry 4

Dumais Michael R · CIK 0001531769 · President, Hamilton Sundstrand

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 18,000 shares

Expires 2014-01-08

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: 0001225208-12-004507 · doc4.xml · nonDerivative · entry 2

Dumais Michael R · CIK 0001531769 · President, Hamilton Sundstrand

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,657

SEC source: 0001225208-12-004507 · doc4.xml · nonDerivative · entry 1

Dumais Michael R · CIK 0001531769 · President, Hamilton Sundstrand

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,657

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: 0001225208-12-003365 · doc4.xml · nonDerivative · entry 2

Dumais Michael R · CIK 0001531769 · President, Hamilton Sundstrand

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,657

SEC source: 0001225208-12-003365 · doc4.xml · nonDerivative · entry 1

Dumais Michael R · CIK 0001531769 · President, Hamilton Sundstrand

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,499

F1 · shares: The acquisition of shares of UTC common stock represents the vesting of performance share units (PSUs) previously awarded on January 2, 2009 to the reporting person under the UTC 2005 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.

SEC source: 0001225208-12-000903 · doc4.xml · derivative · entry 1

Dumais Michael R · CIK 0001531769 · President, Hamilton Sundstrand

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,500

Underlying: Common Stock · 30,500 shares

Expires 2022-01-02

F1 · balance_after: The reporting person was also awarded 8,100 performance share units (PSUs) under the UTC Long Term Incentive Plan. Each PSU has a value equal to one share of UTC common stock. These PSUs vest solely upon achievement of pre-established performance targets for UTC's earnings per share and total shareholder return over a three year time period.