LARSEN MARSHALL O

SEC source: 0001024382-26-000002 · form4-04102026_090406.xml · nonDerivative · entry 1

LARSEN MARSHALL O · CIK 0001024382 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · kind: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), with Sumisho Air Lease Corporation Designated Activity Company, an Irish private limited company ("Parent"), and Takeoff Merger Sub Inc., a Delaware corporation and an indirect wholly owned subsidiary of Parent ("Merger Sub"), Merger Sub merged with and into the Issuer, with the Issuer surviving as an indirect wholly owned subsidiary of Parent (the "Merger"). At the effective time of the Merger (the "Effective Time"), each issued and outstanding share of the Issuer's Class A common stock, par value $0.01 per share ("Common Stock") that was issued and outstanding as of immediately prior to the Effective Time was automatically cancelled, extinguished and converted into the right to receive $65.00 per share in cash, without interest thereon (the "Per Share Price").

F2 · shares: The shares of Common Stock reported as disposed by the reporting person include (i) 37,029.97 vested but deferred restricted stock units ("RSUs"), including dividend equivalent rights accrued on such RSUs, which were cancelled and converted into the right to receive an amount in cash (without interest and subject to applicable withholding taxes) equal to the product of the Per Share Price and the total number of vested but deferred RSUs, and (ii) 2,698 unvested RSUs, which were cancelled and converted into the right to receive an amount in cash (without interest and subject to applicable withholding taxes) equal to the product of the Per Share Price and the total number of unvested RSUs upon the reporting person's separation from service at the Effective Time.

SEC source: 0001024382-25-000005 · form4-11172025_091101.xml · nonDerivative · entry 1

LARSEN MARSHALL O · CIK 0001024382 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 39,477.03

F1 · balance_after: Includes restricted stock units received pursuant to dividend equivalent rights which were credited to the reporting person when and as dividends were paid on the Issuer's Class A Common Stock.

SEC source: 0001415889-25-012175 · form4-05062025_110528.xml · nonDerivative · entry 1

LARSEN MARSHALL O · CIK 0001024382 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 52,148.85

F1 · shares: Restricted stock units (RSUs) granted under the Air Lease Corporation 2023 Equity Incentive Plan, in connection with the reporting person's service as a member of the Board of Directors of the Issuer. Subject to certain conditions, all of these RSUs will vest in full on May 2, 2026, the first anniversary of the grant date. Each RSU represents a contingent right to receive one share of the Issuer's Class A Common Stock on a deferred settlement date, subject to the terms of the award agreement.

F2 · balance_after: Includes restricted stock units received pursuant to dividend equivalent rights which were credited to the reporting person when and as dividends were paid on the Issuer's Class A Common Stock.

SEC source: 0001415889-24-012476 · form4-05072024_080544.xml · nonDerivative · entry 1

LARSEN MARSHALL O · CIK 0001024382 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 48,806.65

F1 · shares: Restricted stock units (RSUs) granted under the Air Lease Corporation 2023 Equity Incentive Plan, in connection with the reporting person's service as a member of the Board of Directors of the Issuer. Subject to certain conditions, all of these RSUs will vest in full on May 3, 2025, the first anniversary of the grant date. Each RSU represents a contingent right to receive one share of the Issuer's Class A Common Stock on a deferred settlement date, subject to the terms of the award agreement.

F2 · balance_after: Includes restricted stock units received pursuant to dividend equivalent rights which were credited to the reporting person when and as dividends were paid on the Issuer's Class A Common Stock.

SEC source: 0001415889-23-007732 · form4-05102023_080509.xml · nonDerivative · entry 1

LARSEN MARSHALL O · CIK 0001024382 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 45,699.554

F1 · shares: Restricted stock units (RSUs) granted under the Air Lease Corporation 2023 Equity Incentive Plan, in connection with the reporting person's service as a member of the Board of Directors of the Issuer. Subject to certain conditions, all of these RSUs will vest in full on May 8, 2024, the first anniversary of the grant date. Each RSU represents a contingent right to receive one share of the Issuer's Class A Common Stock on a deferred settlement date, subject to the terms of the award agreement.

F2 · balance_after: Includes restricted stock units received pursuant to dividend equivalent rights which were credited to the reporting person when and as dividends were paid on the Issuer's Class A Common Stock.

SEC source: 0001062993-23-001439 · form4.xml · nonDerivative · entry 1

LARSEN MARSHALL O · CIK 0001024382 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,919

F1 · shares: Represents restricted stock units awarded under the Becton, Dickinson and Company 2004 Employee and Director Equity-Based Compensation Plan.

F2 · balance_after: Includes units acquired through dividend reinvestment since the last report filed by the reporting person.

SEC source: 0001415889-22-004745 · form4-05062022_020512.xml · nonDerivative · entry 1

LARSEN MARSHALL O · CIK 0001024382 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,699.132

F1 · shares: Restricted stock units (RSUs) granted under the Air Lease Corporation 2014 Equity Incentive Plan, in connection with the reporting person's service as a member of the Board of Directors of the Issuer. Subject to certain conditions, all of these RSUs will vest in full on May 4, 2023, the first anniversary of the grant date. Each RSU represents a contingent right to receive one share of the Issuer's Class A Common Stock on a deferred settlement date, subject to the terms of the award agreement.

F2 · balance_after: Includes restricted stock units received pursuant to dividend equivalent rights which were credited to the reporting person when and as dividends were paid on the Issuer's Class A Common Stock.

SEC source: 0001062993-22-001645 · form4.xml · nonDerivative · entry 1

LARSEN MARSHALL O · CIK 0001024382 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,806

F1 · shares: Represents restricted stock units awarded under the Becton, Dickinson and Company 2004 Employee and Director Equity-Based Compensation Plan.

F2 · balance_after: Includes units acquired through dividend reinvestment since the last report filed by the reporting person.

SEC source: 0001415889-21-002335 · form4-05072021_070522.xml · nonDerivative · entry 1

LARSEN MARSHALL O · CIK 0001024382 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,174.59

F1 · shares: Restricted stock units (RSUs) granted under the Air Lease Corporation 2014 Equity Incentive Plan, in connection with the reporting person's service as a member of the Board of Directors of the Issuer. Subject to certain conditions, all of these RSUs will vest in full on May 5, 2022, the first anniversary of the grant date. Each RSU represents a contingent right to receive one share of the Issuer's Class A Common Stock on a deferred settlement date, subject to the terms of the award agreement.

F2 · balance_after: Includes restricted stock units received pursuant to dividend equivalent rights which were credited to the reporting person when and as dividends were paid on the Issuer's Class A Common Stock.

SEC source: 0001225208-21-007124 · doc4.xml · derivative · entry 1

LARSEN MARSHALL O · CIK 0001024382 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,496.5129

Underlying: Common Stock · 2,296.2963 shares

Expires not disclosed

F1 · derivative.exercise_price: The reporting person acquired these stock units under the Raytheon Technologies Corporation Board of Directors Deferred Stock Unit Plan (the "Plan") in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

F1 · derivative.exercise_date: The reporting person acquired these stock units under the Raytheon Technologies Corporation Board of Directors Deferred Stock Unit Plan (the "Plan") in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

F1 · derivative.expiration_date: The reporting person acquired these stock units under the Raytheon Technologies Corporation Board of Directors Deferred Stock Unit Plan (the "Plan") in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

SEC source: 0001543407-21-000010 · edgar.xml · nonDerivative · entry 1

LARSEN MARSHALL O · CIK 0001024382 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,986

F1 · shares: Represents restricted stock units awarded under the Becton, Dickinson and Company 2004 Employee and Director Equity-Based Compensation Plan.

F2 · balance_after: Includes units acquired through dividend reinvestment since the last report filed by the reporting person.

SEC source: 0001179110-20-005883 · edgar.xml · nonDerivative · entry 1

LARSEN MARSHALL O · CIK 0001024382 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,207.71

F1 · balance_after: Includes restricted stock units received pursuant to dividend equivalent rights which were credited to the reporting person when and as dividends were paid on the Issuer's Class A Common Stock.

SEC source: 0001225208-20-007676 · doc4.xml · derivative · entry 1

LARSEN MARSHALL O · CIK 0001024382 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,476.1989

Underlying: Common Stock · 2,629.7833 shares

Expires not disclosed

F1 · derivative.exercise_price: The reporting person acquired these stock units under the Raytheon Technologies Corporation Board of Directors Deferred Stock Unit Plan (the "Plan") in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

F1 · derivative.exercise_date: The reporting person acquired these stock units under the Raytheon Technologies Corporation Board of Directors Deferred Stock Unit Plan (the "Plan") in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

F1 · derivative.expiration_date: The reporting person acquired these stock units under the Raytheon Technologies Corporation Board of Directors Deferred Stock Unit Plan (the "Plan") in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

SEC source: 0001225208-20-012695 · doc4a.xml · derivative · entry 1

LARSEN MARSHALL O · CIK 0001024382 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,673.135

Underlying: Common Stock · 2,629.7833 shares

Expires not disclosed

F1 · derivative.exercise_price: The reporting person acquired these stock units under the Raytheon Technologies Corporation Board of Directors Deferred Stock Unit Plan (the "Plan") in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

F1 · derivative.exercise_date: The reporting person acquired these stock units under the Raytheon Technologies Corporation Board of Directors Deferred Stock Unit Plan (the "Plan") in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

F1 · derivative.expiration_date: The reporting person acquired these stock units under the Raytheon Technologies Corporation Board of Directors Deferred Stock Unit Plan (the "Plan") in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

F2 · balance_after: This amended Form 4 is being filed in order to reflect the impact of adjustments to the reporting person's stock ownership as a result of the merger of United Technologies Corporation and Raytheon Company and the related spin-offs of the Otis and Carrier businesses. The converted total number of securities owned following the spin-offs had not yet been determined as of the date of the original filing.

SEC source: 0001179110-20-005568 · edgar.xml · nonDerivative · entry 3

LARSEN MARSHALL O · CIK 0001024382 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,207.71

F2 · shares: Restricted stock units (RSUs) granted under the Air Lease Corporation 2014 Equity Incentive Plan, in connection with the reporting person's service as a member of the Board of Directors of the Issuer. Subject to certain conditions, all of these RSUs will vest in full on May 6, 2021, the first anniversary of the grant date. Each RSU represents a contingent right to receive one share of the Issuer's Class A Common Stock on a deferred settlement date, subject to the terms of the award agreement.

F1 · balance_after: Includes restricted stock units received pursuant to dividend equivalent rights which were credited to the reporting person when and as dividends were paid on the Issuer's Class A Common Stock.

SEC source: 0001543407-20-000015 · edgar.xml · nonDerivative · entry 1

LARSEN MARSHALL O · CIK 0001024382 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,932

F1 · shares: Represents restricted stock units awarded under the Becton, Dickinson and Company 2004 Employee and Director Equity-Based Compensation Plan.

F2 · balance_after: Includes units acquired through dividend reinvestment since the last report filed by the reporting person.

SEC source: 0001179110-19-005787 · edgar.xml · nonDerivative · entry 1

LARSEN MARSHALL O · CIK 0001024382 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,055.46

F1 · shares: Restricted stock units (RSUs) granted under the Air Lease Corporation 2014 Equity Incentive Plan, in connection with the reporting person's service as a member of the Board of Directors of the Issuer. Subject to certain conditions, all of these RSUs will vest in full on May 8, 2020, the first anniversary of the grant date. Each RSU represents a contingent right to receive one share of the Issuer's Class A Common Stock on a deferred settlement date, subject to the terms of the award agreement.

F2 · balance_after: Includes restricted stock units received pursuant to dividend equivalent rights which were credited to the reporting person when and as dividends were paid on the Issuer's Class A Common Stock.

SEC source: 0001225208-19-007490 · doc4.xml · derivative · entry 2

LARSEN MARSHALL O · CIK 0001024382 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,429.302

Underlying: Common Stock · 1,308.7532 shares

Expires not disclosed

F1 · derivative.exercise_price: The reporting person acquired these stock units under the United Technologies Corporation Board of Directors Deferred Stock Unit Plan (the Plan) in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

F1 · derivative.exercise_date: The reporting person acquired these stock units under the United Technologies Corporation Board of Directors Deferred Stock Unit Plan (the Plan) in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

F1 · derivative.expiration_date: The reporting person acquired these stock units under the United Technologies Corporation Board of Directors Deferred Stock Unit Plan (the Plan) in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

SEC source: 0001543407-19-000012 · edgar.xml · nonDerivative · entry 1

LARSEN MARSHALL O · CIK 0001024382 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,912

F1 · shares: Represents restricted stock units awarded under the Becton, Dickinson and Company 2004 Employee and Director Equity-Based Compensation Plan.

F2 · balance_after: Includes units acquired through dividend reinvestment since the last report filed by the reporting person.

SEC source: 0001179110-20-005568 · edgar.xml · nonDerivative · entry 2

LARSEN MARSHALL O · CIK 0001024382 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,642.71

F1 · balance_after: Includes restricted stock units received pursuant to dividend equivalent rights which were credited to the reporting person when and as dividends were paid on the Issuer's Class A Common Stock.

SEC source: 0001179110-20-005568 · edgar.xml · nonDerivative · entry 1

LARSEN MARSHALL O · CIK 0001024382 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,511.71

F1 · balance_after: Includes restricted stock units received pursuant to dividend equivalent rights which were credited to the reporting person when and as dividends were paid on the Issuer's Class A Common Stock.

SEC source: 0000060667-18-000111 · wf-form4_152820211279798.xml · derivative · entry 1

LARSEN MARSHALL O · CIK 0001024382 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,337.154

Underlying: Common Stock · 1,900 shares

Expires not disclosed

F1 · derivative.exercise_date: All Deferred Stock Units are vested. Each Deferred Stock Unit shall convert into one share of the Issuer's common stock immediately after termination of the Reporting Person's service as a member of the Board of Directors of the Issuer.

F1 · derivative.expiration_date: All Deferred Stock Units are vested. Each Deferred Stock Unit shall convert into one share of the Issuer's common stock immediately after termination of the Reporting Person's service as a member of the Board of Directors of the Issuer.

F2 · balance_after: Includes the credit of dividends to the Reporting Person's deferred stock account under the Issuer's 2006 Long Term Incentive Plan, as amended and restated.

SEC source: 0001179110-18-006656 · edgar.xml · nonDerivative · entry 1

LARSEN MARSHALL O · CIK 0001024382 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,544.23

F1 · shares: Restricted stock units (RSUs) granted under the Air Lease Corporation 2014 Equity Incentive Plan, in connection with the reporting person's service as a member of the Board of Directors of the Issuer. Subject to certain conditions, all of these RSUs will vest in full on May 9, 2019, the first anniversary of the grant date. Each RSU represents a contingent right to receive one share of the Issuer's Class A Common Stock on a deferred settlement date, subject to the terms of the award agreement.

F2 · balance_after: Includes restricted stock units received pursuant to dividend equivalent rights which were credited to the reporting person when and as dividends were paid on the Issuer's Class A Common Stock.

SEC source: 0001225208-18-008363 · doc4.xml · derivative · entry 2

LARSEN MARSHALL O · CIK 0001024382 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,737.5813

Underlying: Common Stock · 1,647.9401 shares

Expires not disclosed

F1 · derivative.exercise_price: The reporting person acquired these Phantom Stock Units under the UTC Board of Directors Deferred Stock Unit Plan (the "Plan") in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

F1 · derivative.exercise_date: The reporting person acquired these Phantom Stock Units under the UTC Board of Directors Deferred Stock Unit Plan (the "Plan") in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

F1 · derivative.expiration_date: The reporting person acquired these Phantom Stock Units under the UTC Board of Directors Deferred Stock Unit Plan (the "Plan") in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

SEC source: 0001543407-18-000013 · edgar.xml · nonDerivative · entry 1

LARSEN MARSHALL O · CIK 0001024382 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,733

F1 · shares: Represents restricted stock units awarded under the Becton, Dickinson and Company 2004 Employee and Director Equity-Based Compensation Plan.

F2 · balance_after: Includes units acquired through dividend reinvestment since the last report filed by the reporting person.

SEC source: 0000060667-17-000106 · wf-form4_149675260585369.xml · derivative · entry 1

LARSEN MARSHALL O · CIK 0001024382 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,340.09

Underlying: Common Stock · 2,200 shares

Expires not disclosed

F1 · derivative.exercise_date: All Deferred Stock Units are vested. Each Deferred Stock Unit shall convert into one share of the Issuer's common stock immediately after termination of the Reporting Person's service as a member of the Board of Directors of the Issuer.

F1 · derivative.expiration_date: All Deferred Stock Units are vested. Each Deferred Stock Unit shall convert into one share of the Issuer's common stock immediately after termination of the Reporting Person's service as a member of the Board of Directors of the Issuer.

F2 · balance_after: Includes the credit of dividends to the Reporting Person's deferred stock account under the Issuer's 2006 Long Term Incentive Plan, as amended and restated.

SEC source: 0001179110-17-006669 · edgar.xml · nonDerivative · entry 1

LARSEN MARSHALL O · CIK 0001024382 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,768.99

F1 · shares: Restricted stock units (RSUs) granted under the Air Lease Corporation 2014 Equity Incentive Plan, in connection with the reporting person's service as a member of the Board of Directors of the Issuer. Subject to certain conditions, all of these RSUs will vest in full on May 3, 2018, the first anniversary of the grant date. Each RSU represents a contingent right to receive one share of the Issuer's Class A Common Stock on a deferred settlement date, subject to the terms of the award agreement.

F2 · balance_after: Includes restricted stock units received pursuant to dividend equivalent rights which were credited to the reporting person when and as dividends were paid on the Issuer's Class A Common Stock.

SEC source: 0001225208-17-008414 · doc4.xml · derivative · entry 2

LARSEN MARSHALL O · CIK 0001024382 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,749.1229

Underlying: Common Stock · 1,702.2008 shares

Expires not disclosed

F2 · derivative.exercise_price: The reporting person acquired these Phantom Stock Units under the UTC Board of Directors Deferred Stock Unit Plan (the "Plan") in connection with the reporting person's annual compensation for service as a non-employee director. Upon retirement or termination, the stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

F2 · derivative.exercise_date: The reporting person acquired these Phantom Stock Units under the UTC Board of Directors Deferred Stock Unit Plan (the "Plan") in connection with the reporting person's annual compensation for service as a non-employee director. Upon retirement or termination, the stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

F2 · derivative.expiration_date: The reporting person acquired these Phantom Stock Units under the UTC Board of Directors Deferred Stock Unit Plan (the "Plan") in connection with the reporting person's annual compensation for service as a non-employee director. Upon retirement or termination, the stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

SEC source: 0001543407-17-000008 · edgar.xml · nonDerivative · entry 1

LARSEN MARSHALL O · CIK 0001024382 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,514

F1 · shares: Represents restricted stock units awarded under the Becton, Dickinson and Company 2004 Employee and Director Equity-Based Compensation Plan.

F2 · balance_after: Includes units acquired through dividend reinvestment since the last report filed by the reporting person.

SEC source: 0000060667-16-000338 · edgardoc.xml · derivative · entry 1

LARSEN MARSHALL O · CIK 0001024382 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,163.936

Underlying: Common Stock · 1,900 shares

Expires not disclosed

F1 · derivative.exercise_date: All Deferred Stock Units are vested. Each Deferred Stock Unit shall convert into one share of the Issuer's common stock immediately after termination of the Reporting Person's service as a member of the Board of Directors of the Issuer.

F1 · derivative.expiration_date: All Deferred Stock Units are vested. Each Deferred Stock Unit shall convert into one share of the Issuer's common stock immediately after termination of the Reporting Person's service as a member of the Board of Directors of the Issuer.

F2 · balance_after: Includes the credit of dividends to the Reporting Person's deferred stock account under the Issuer's 2006 Long Term Incentive Plan, as amended and restated.

SEC source: 0001225208-16-031878 · doc4.xml · derivative · entry 4

LARSEN MARSHALL O · CIK 0001024382 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,729.8416

Underlying: Common Stock · 1,596.9582 shares

Expires not disclosed

F1 · derivative.exercise_price: Consists of Phantom Stock Units acquired by the reporting person under the United Technologies Corporation Board of Directors Deferred Stock Unit Plan in respect of his/her annual retainer for services as a non-employee Director. The Plan provides for payment of all or a portion of the retainer in deferred stock units. Upon termination of service as a member of the Board of Directors, the non-employee Director will be entitled to receive a number of shares of Common Stock of United Technologies Corporation equal to the balance of Phantom Stock Units then held in his/her account under the Plan, distributed either as a lump sum or in installments, as previously elected pursuant to the Plan.

F1 · derivative.exercise_date: Consists of Phantom Stock Units acquired by the reporting person under the United Technologies Corporation Board of Directors Deferred Stock Unit Plan in respect of his/her annual retainer for services as a non-employee Director. The Plan provides for payment of all or a portion of the retainer in deferred stock units. Upon termination of service as a member of the Board of Directors, the non-employee Director will be entitled to receive a number of shares of Common Stock of United Technologies Corporation equal to the balance of Phantom Stock Units then held in his/her account under the Plan, distributed either as a lump sum or in installments, as previously elected pursuant to the Plan.

F1 · derivative.expiration_date: Consists of Phantom Stock Units acquired by the reporting person under the United Technologies Corporation Board of Directors Deferred Stock Unit Plan in respect of his/her annual retainer for services as a non-employee Director. The Plan provides for payment of all or a portion of the retainer in deferred stock units. Upon termination of service as a member of the Board of Directors, the non-employee Director will be entitled to receive a number of shares of Common Stock of United Technologies Corporation equal to the balance of Phantom Stock Units then held in his/her account under the Plan, distributed either as a lump sum or in installments, as previously elected pursuant to the Plan.

SEC source: 0000060667-16-000205 · edgardoc.xml · derivative · entry 1

LARSEN MARSHALL O · CIK 0001024382 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,752.27

Underlying: Common Stock · 394.529 shares

Expires not disclosed

F1 · security: Represents the credit of deferred compensation to the Reporting Person's deferred stock account under the Issuer's Directors' Deferred Compensation Plan.

F2 · derivative.exercise_price: Each share of phantom stock is the economic equivalent of one share of common stock. The Reporting Person becomes entitled to the cash value of the phantom stock upon ceasing to be a director of the Issuer.

F2 · derivative.exercise_date: Each share of phantom stock is the economic equivalent of one share of common stock. The Reporting Person becomes entitled to the cash value of the phantom stock upon ceasing to be a director of the Issuer.

F2 · derivative.expiration_date: Each share of phantom stock is the economic equivalent of one share of common stock. The Reporting Person becomes entitled to the cash value of the phantom stock upon ceasing to be a director of the Issuer.

F3 · balance_after: Includes the credit of dividends to the Reporting Person's deferred stock account under the Issuer's Directors' Deferred Compensation Plan.

SEC source: 0000060667-15-000172 · edgardoc.xml · derivative · entry 1

LARSEN MARSHALL O · CIK 0001024382 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,273.408

Underlying: Common Stock · 427.168 shares

Expires not disclosed

F1 · security: Represents the credit of deferred compensation to the Reporting Person's deferred stock account under the Issuer's Directors' Deferred Compensation Plan.

F2 · derivative.exercise_price: Each share of phantom stock is the economic equivalent of one share of common stock. The Reporting Person becomes entitled to the cash value of the phantom stock upon ceasing to be a director of the Issuer.

F3 · date: The regularly scheduled crediting date for the deferred compensation was September 30, 2015. However, during the period beginning September 24, 2015 and ending October 1, 2015, the Reporting Person was subject to trading restrictions imposed under Section 306 of the Sarbanes-Oxley Act of 2002 and Section 104 of Regulation BTR under the Securities Exchange Act of 1934 as a result of a blackout period under the Lowe's 401(k) Plan. See Form 8-K filed by the Issuer for Item 5.04 on August 20, 2015. The crediting of the deferred compensation was delayed until the expiration of the trading restrictions.

F2 · derivative.exercise_date: Each share of phantom stock is the economic equivalent of one share of common stock. The Reporting Person becomes entitled to the cash value of the phantom stock upon ceasing to be a director of the Issuer.

F2 · derivative.expiration_date: Each share of phantom stock is the economic equivalent of one share of common stock. The Reporting Person becomes entitled to the cash value of the phantom stock upon ceasing to be a director of the Issuer.

F4 · balance_after: Includes the credit of dividends to the Reporting Person's deferred stock account under the Issuer's Directors' Deferred Compensation Plan.

SEC source: 0000060667-15-000120 · edgardoc.xml · derivative · entry 1

LARSEN MARSHALL O · CIK 0001024382 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,758.405

Underlying: Common Stock · 447.962 shares

Expires not disclosed

F1 · security: Represents the credit of deferred compensation to the Reporting Person's deferred stock account under the Issuer's Directors' Deferred Compensation Plan.

F2 · derivative.exercise_price: Each share of phantom stock is the economic equivalent of one share of common stock. The Reporting Person becomes entitled to the cash value of the phantom stock upon ceasing to be a director of the Issuer.

F2 · derivative.exercise_date: Each share of phantom stock is the economic equivalent of one share of common stock. The Reporting Person becomes entitled to the cash value of the phantom stock upon ceasing to be a director of the Issuer.

F2 · derivative.expiration_date: Each share of phantom stock is the economic equivalent of one share of common stock. The Reporting Person becomes entitled to the cash value of the phantom stock upon ceasing to be a director of the Issuer.

F3 · balance_after: Includes the credit of dividends to the Reporting Person's deferred stock account under the Issuer's Directors' Deferred Compensation Plan.

SEC source: 0000060667-15-000098 · edgardoc.xml · derivative · entry 1

LARSEN MARSHALL O · CIK 0001024382 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,462.738

Underlying: Common Stock · 2,200 shares

Expires not disclosed

F1 · derivative.exercise_date: All Deferred Stock Units are vested. Each Deferred Stock Unit shall convert into one share of the Issuer's common stock immediately after termination of the Reporting Person's service as a member of the Board of Directors of the Issuer.

F1 · derivative.expiration_date: All Deferred Stock Units are vested. Each Deferred Stock Unit shall convert into one share of the Issuer's common stock immediately after termination of the Reporting Person's service as a member of the Board of Directors of the Issuer.

F2 · balance_after: Includes the credit of dividends to the Reporting Person's deferred stock account under the Issuer's 2006 Long Term Incentive Plan, as amended and restated.

SEC source: 0001225208-15-010573 · doc4.xml · derivative · entry 4

LARSEN MARSHALL O · CIK 0001024382 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,848.9296

Underlying: Common Stock · 2,419.2155 shares

Expires not disclosed

F1 · derivative.exercise_price: Consists of Phantom Stock Units acquired by the reporting person under the United Technologies Corporation Board of Directors Deferred Stock Unit Plan in respect of his/her annual retainer for services as a non-employee Director. The Plan provides for payment of all or a portion of the retainer in deferred stock units. Upon termination of service as a member of the Board of Directors, the non-employee Director will be entitled to receive a number of shares of Common Stock of United Technologies Corporation equal to the balance of Phantom Stock Units then held in his/her account under the Plan, distributed either as a lump sum or in installments, as previously elected pursuant to the Plan.

F1 · derivative.exercise_date: Consists of Phantom Stock Units acquired by the reporting person under the United Technologies Corporation Board of Directors Deferred Stock Unit Plan in respect of his/her annual retainer for services as a non-employee Director. The Plan provides for payment of all or a portion of the retainer in deferred stock units. Upon termination of service as a member of the Board of Directors, the non-employee Director will be entitled to receive a number of shares of Common Stock of United Technologies Corporation equal to the balance of Phantom Stock Units then held in his/her account under the Plan, distributed either as a lump sum or in installments, as previously elected pursuant to the Plan.

F1 · derivative.expiration_date: Consists of Phantom Stock Units acquired by the reporting person under the United Technologies Corporation Board of Directors Deferred Stock Unit Plan in respect of his/her annual retainer for services as a non-employee Director. The Plan provides for payment of all or a portion of the retainer in deferred stock units. Upon termination of service as a member of the Board of Directors, the non-employee Director will be entitled to receive a number of shares of Common Stock of United Technologies Corporation equal to the balance of Phantom Stock Units then held in his/her account under the Plan, distributed either as a lump sum or in installments, as previously elected pursuant to the Plan.

SEC source: 0000060667-15-000069 · edgardoc.xml · derivative · entry 1

LARSEN MARSHALL O · CIK 0001024382 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,241.077

Underlying: Common Stock · 336.067 shares

Expires not disclosed

F1 · security: Represents the credit of deferred compensation to the Reporting Person's deferred stock account under the Issuer's Directors' Deferred Compensation Plan.

F2 · derivative.exercise_price: Each share of phantom stock is the economic equivalent of one share of common stock. The Reporting Person becomes entitled to the cash value of the phantom stock upon ceasing to be a director of the Issuer.

F2 · derivative.exercise_date: Each share of phantom stock is the economic equivalent of one share of common stock. The Reporting Person becomes entitled to the cash value of the phantom stock upon ceasing to be a director of the Issuer.

F2 · derivative.expiration_date: Each share of phantom stock is the economic equivalent of one share of common stock. The Reporting Person becomes entitled to the cash value of the phantom stock upon ceasing to be a director of the Issuer.

F3 · balance_after: Includes the credit of dividends to the Reporting Person's deferred stock account under the Issuer's Directors' Deferred Compensation Plan.

SEC source: 0000060667-15-000011 · edgardoc.xml · derivative · entry 1

LARSEN MARSHALL O · CIK 0001024382 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,836.185

Underlying: Common Stock · 363.372 shares

Expires not disclosed

F1 · security: Represents the credit of deferred compensation to the Reporting Person's deferred stock account under the Issuer's Directors' Deferred Compensation Plan.

F2 · derivative.exercise_price: Each share of phantom stock is the economic equivalent of one share of common stock. The Reporting Person becomes entitled to the cash value of the phantom stock upon ceasing to be a director of the Issuer.

F2 · derivative.exercise_date: Each share of phantom stock is the economic equivalent of one share of common stock. The Reporting Person becomes entitled to the cash value of the phantom stock upon ceasing to be a director of the Issuer.

F2 · derivative.expiration_date: Each share of phantom stock is the economic equivalent of one share of common stock. The Reporting Person becomes entitled to the cash value of the phantom stock upon ceasing to be a director of the Issuer.

F3 · balance_after: Includes the credit of dividends to the Reporting Person's deferred stock account under the Issuer's Directors' Deferred Compensation Plan.

SEC source: 0000060667-14-000185 · edgardoc.xml · derivative · entry 1

LARSEN MARSHALL O · CIK 0001024382 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,390.911

Underlying: Common Stock · 472.411 shares

Expires not disclosed

F1 · security: Represents the credit of deferred compensation to the Reporting Person's deferred stock account under the Issuer's Directors' Deferred Compensation Plan.

F2 · derivative.exercise_price: Each share of phantom stock is the economic equivalent of one share of common stock. The Reporting Person becomes entitled to the cash value of the phantom stock upon ceasing to be a director of the Issuer.

F2 · derivative.exercise_date: Each share of phantom stock is the economic equivalent of one share of common stock. The Reporting Person becomes entitled to the cash value of the phantom stock upon ceasing to be a director of the Issuer.

F2 · derivative.expiration_date: Each share of phantom stock is the economic equivalent of one share of common stock. The Reporting Person becomes entitled to the cash value of the phantom stock upon ceasing to be a director of the Issuer.

F3 · balance_after: Includes the credit of dividends to the Reporting Person's deferred stock account under the Issuer's Directors' Deferred Compensation Plan.

SEC source: 0000060667-14-000129 · edgardoc.xml · derivative · entry 1

LARSEN MARSHALL O · CIK 0001024382 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,822.802

Underlying: Common Stock · 520.942 shares

Expires not disclosed

F1 · security: Represents the credit of deferred compensation to the Reporting Person's deferred stock account under the Issuer's Directors' Deferred Compensation Plan.

F2 · derivative.exercise_price: Each share of phantom stock is the economic equivalent of one share of common stock. The Reporting Person becomes entitled to the cash value of the phantom stock upon ceasing to be a director of the Issuer.

F2 · derivative.exercise_date: Each share of phantom stock is the economic equivalent of one share of common stock. The Reporting Person becomes entitled to the cash value of the phantom stock upon ceasing to be a director of the Issuer.

F2 · derivative.expiration_date: Each share of phantom stock is the economic equivalent of one share of common stock. The Reporting Person becomes entitled to the cash value of the phantom stock upon ceasing to be a director of the Issuer.

F3 · balance_after: Includes the credit of dividends to the Reporting Person's deferred stock account under the Issuer's Directors' Deferred Compensation Plan.

SEC source: 0000060667-14-000106 · edgardoc.xml · derivative · entry 1

LARSEN MARSHALL O · CIK 0001024382 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,515.799

Underlying: Common Stock · 3,200 shares

Expires not disclosed

F1 · derivative.exercise_date: All Deferred Stock Units are vested. Each Deferred Stock Unit shall convert into one share of the Issuer's common stock immediately after termination of the Reporting Person's service as a member of the Board of Directors of the Issuer.

F1 · derivative.expiration_date: All Deferred Stock Units are vested. Each Deferred Stock Unit shall convert into one share of the Issuer's common stock immediately after termination of the Reporting Person's service as a member of the Board of Directors of the Issuer.

F2 · balance_after: Includes the credit of dividends to the Reporting Person's deferred stock account under the Issuer's 2006 Long Term Incentive Plan, as amended and restated.

SEC source: 0001225208-14-011407 · doc4.xml · derivative · entry 4

LARSEN MARSHALL O · CIK 0001024382 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,254.6612

Underlying: Common Stock · 2,209.0059 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: 0000060667-14-000060 · edgardoc.xml · derivative · entry 1

LARSEN MARSHALL O · CIK 0001024382 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,225.621

Underlying: Common Stock · 511.247 shares

Expires not disclosed

F1 · security: Represents the credit of deferred compensation to the Reporting Person's deferred stock account under the Issuer's Directors' Deferred Compensation Plan.

F2 · derivative.exercise_price: Each share of phantom stock is the economic equivalent of one share of common stock. The Reporting Person becomes entitled to the cash value of the phantom stock upon ceasing to be a director of the Issuer.

F2 · derivative.exercise_date: Each share of phantom stock is the economic equivalent of one share of common stock. The Reporting Person becomes entitled to the cash value of the phantom stock upon ceasing to be a director of the Issuer.

F2 · derivative.expiration_date: Each share of phantom stock is the economic equivalent of one share of common stock. The Reporting Person becomes entitled to the cash value of the phantom stock upon ceasing to be a director of the Issuer.

F3 · balance_after: Includes the credit of dividends to the Reporting Person's deferred stock account under the Issuer's Directors' Deferred Compensation Plan.

SEC source: 0000060667-14-000002 · edgardoc.xml · derivative · entry 1

LARSEN MARSHALL O · CIK 0001024382 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,639.652

Underlying: Common Stock · 504.541 shares

Expires not disclosed

F1 · security: Represents the credit of deferred compensation to the Reporting Person's deferred stock account under the Issuer's Directors' Deferred Compensation Plan.

F2 · derivative.exercise_price: Each share of phantom stock is the economic equivalent of one share of common stock. The Reporting Person becomes entitled to the cash value of the phantom stock upon ceasing to be a director of the Issuer.

F2 · derivative.exercise_date: Each share of phantom stock is the economic equivalent of one share of common stock. The Reporting Person becomes entitled to the cash value of the phantom stock upon ceasing to be a director of the Issuer.

F2 · derivative.expiration_date: Each share of phantom stock is the economic equivalent of one share of common stock. The Reporting Person becomes entitled to the cash value of the phantom stock upon ceasing to be a director of the Issuer.

F3 · balance_after: Includes the credit of dividends to the Reporting Person's deferred stock account under the Issuer's Directors' Deferred Compensation Plan.

SEC source: 0000060667-13-000148 · edgardoc.xml · derivative · entry 1

LARSEN MARSHALL O · CIK 0001024382 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,070.292

Underlying: Common Stock · 525.1 shares

Expires not disclosed

F1 · security: Represents the credit of deferred compensation to the Reporting Person's deferred stock account under the Issuer's Directors' Deferred Compensation Plan.

F2 · derivative.exercise_price: Each share of phantom stock is the economic equivalent of one share of common stock. The Reporting Person becomes entitled to the cash value of the phantom stock upon ceasing to be a director of the Issuer.

F2 · derivative.exercise_date: Each share of phantom stock is the economic equivalent of one share of common stock. The Reporting Person becomes entitled to the cash value of the phantom stock upon ceasing to be a director of the Issuer.

F2 · derivative.expiration_date: Each share of phantom stock is the economic equivalent of one share of common stock. The Reporting Person becomes entitled to the cash value of the phantom stock upon ceasing to be a director of the Issuer.

F3 · balance_after: Includes the credit of dividends to the Reporting Person's deferred stock account under the Issuer's Directors' Deferred Compensation Plan.

SEC source: 0000060667-13-000110 · edgardoc.xml · derivative · entry 1

LARSEN MARSHALL O · CIK 0001024382 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,475.089

Underlying: Common Stock · 611.247 shares

Expires not disclosed

F1 · security: Represents the credit of deferred compensation to the Reporting Person's deferred stock account under the Issuer's Directors' Deferred Compensation Plan.

F2 · derivative.exercise_price: Each share of phantom stock is the economic equivalent of one share of common stock. The Reporting Person becomes entitled to the cash value of the phantom stock upon ceasing to be a director of the Issuer.

F2 · derivative.exercise_date: Each share of phantom stock is the economic equivalent of one share of common stock. The Reporting Person becomes entitled to the cash value of the phantom stock upon ceasing to be a director of the Issuer.

F2 · derivative.expiration_date: Each share of phantom stock is the economic equivalent of one share of common stock. The Reporting Person becomes entitled to the cash value of the phantom stock upon ceasing to be a director of the Issuer.

F3 · balance_after: Includes the credit of dividends to the Reporting Person's deferred stock account under the Issuer's Directors' Deferred Compensation Plan.

SEC source: 0000060667-13-000090 · edgardoc.xml · derivative · entry 1

LARSEN MARSHALL O · CIK 0001024382 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,642.411

Underlying: Common Stock · 3,600 shares

Expires not disclosed

F1 · derivative.exercise_date: All Deferred Stock Units are vested. Each Deferred Stock Unit shall convert into one share of the Issuer's common stock immediately after termination of the Reporting Person's service as a member of the Board of Directors of the Issuer.

F1 · derivative.expiration_date: All Deferred Stock Units are vested. Each Deferred Stock Unit shall convert into one share of the Issuer's common stock immediately after termination of the Reporting Person's service as a member of the Board of Directors of the Issuer.

SEC source: 0001225208-13-010877 · doc4.xml · derivative · entry 4

LARSEN MARSHALL O · CIK 0001024382 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,920.0879

Underlying: Common Stock · 2,837.8083 shares

Expires not disclosed

F1 · derivative.exercise_price: Consists of Phantom Stock Units acquired by the reporting person as his/her annual award and retainer for services as a non-employee director. Upon termination of service on the Board of Directors, all such Phantom Stock Units settle in shares of UTC Common Stock.

F1 · derivative.exercise_date: Consists of Phantom Stock Units acquired by the reporting person as his/her annual award and retainer for services as a non-employee director. Upon termination of service on the Board of Directors, all such Phantom Stock Units settle in shares of UTC Common Stock.

F1 · derivative.expiration_date: Consists of Phantom Stock Units acquired by the reporting person as his/her annual award and retainer for services as a non-employee director. Upon termination of service on the Board of Directors, all such Phantom Stock Units settle in shares of UTC Common Stock.

SEC source: 0000060667-13-000054 · edgardoc.xml · derivative · entry 1

LARSEN MARSHALL O · CIK 0001024382 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,797.138

Underlying: Common Stock · 626.319 shares

Expires not disclosed

F1 · security: Represents the credit of deferred compensation to the Reporting Person's deferred stock account under the Issuer's Directors' Deferred Compensation Plan.

F2 · derivative.exercise_price: Each share of phantom stock is the economic equivalent of one share of common stock. The Reporting Person becomes entitled to the cash value of the phantom stock upon ceasing to be a director of the Issuer.

F2 · derivative.exercise_date: Each share of phantom stock is the economic equivalent of one share of common stock. The Reporting Person becomes entitled to the cash value of the phantom stock upon ceasing to be a director of the Issuer.

F2 · derivative.expiration_date: Each share of phantom stock is the economic equivalent of one share of common stock. The Reporting Person becomes entitled to the cash value of the phantom stock upon ceasing to be a director of the Issuer.

F3 · balance_after: Includes the credit of dividends to the Reporting Person's deferred stock account under the Issuer's Directors' Deferred Compensation Plan.

SEC source: 0000060667-13-000008 · edgardoc.xml · derivative · entry 1

LARSEN MARSHALL O · CIK 0001024382 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,103.601

Underlying: Common Stock · 668.637 shares

Expires not disclosed

F1 · security: Represents the credit of deferred compensation to the Reporting Person's deferred stock account under the Issuer's Directors' Deferred Compensation Plan.

F2 · derivative.exercise_price: Each share of phantom stock is the economic equivalent of one share of common stock. The Reporting Person becomes entitled to the cash value of the phantom stock upon ceasing to be a director of the Issuer.

F2 · derivative.exercise_date: Each share of phantom stock is the economic equivalent of one share of common stock. The Reporting Person becomes entitled to the cash value of the phantom stock upon ceasing to be a director of the Issuer.

F2 · derivative.expiration_date: Each share of phantom stock is the economic equivalent of one share of common stock. The Reporting Person becomes entitled to the cash value of the phantom stock upon ceasing to be a director of the Issuer.

F3 · balance_after: Includes the credit of dividends to the Reporting Person's deferred stock account under the Issuer's Directors' Deferred Compensation Plan.