MCGRAW HAROLD III

SEC source: 0001062993-23-011958 · form4.xml · derivative · entry 1

MCGRAW HAROLD III · CIK 0001191761 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,748.57

Underlying: Common Stock · 2,201.18 shares

Expires not disclosed

F1 · derivative.exercise_price: The reporting person acquired these deferred stock units (DSUs) under the Board of Directors Deferred Stock Unit Plan (the Plan) for service as a non-employee director. The Plan provides for payment of a portion or all of the annual director compensation in DSUs. Upon retirement or termination, the DSUs 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. The total also includes vested DSUs and vested deferred restricted stock units that the reporting person received from UTC, our former parent company, that were converted in the spin-off from UTC. Vested deferred restricted stock units are equivalent to DSUs. Both DSUs and deferred restricted stock units accrue dividend equivalents.

F1 · derivative.exercise_date: The reporting person acquired these deferred stock units (DSUs) under the Board of Directors Deferred Stock Unit Plan (the Plan) for service as a non-employee director. The Plan provides for payment of a portion or all of the annual director compensation in DSUs. Upon retirement or termination, the DSUs 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. The total also includes vested DSUs and vested deferred restricted stock units that the reporting person received from UTC, our former parent company, that were converted in the spin-off from UTC. Vested deferred restricted stock units are equivalent to DSUs. Both DSUs and deferred restricted stock units accrue dividend equivalents.

F1 · derivative.expiration_date: The reporting person acquired these deferred stock units (DSUs) under the Board of Directors Deferred Stock Unit Plan (the Plan) for service as a non-employee director. The Plan provides for payment of a portion or all of the annual director compensation in DSUs. Upon retirement or termination, the DSUs 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. The total also includes vested DSUs and vested deferred restricted stock units that the reporting person received from UTC, our former parent company, that were converted in the spin-off from UTC. Vested deferred restricted stock units are equivalent to DSUs. Both DSUs and deferred restricted stock units accrue dividend equivalents.

SEC source: 0001062993-22-013283 · form4.xml · derivative · entry 1

MCGRAW HAROLD III · CIK 0001191761 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,033.413

Underlying: Common Stock · 2,562.34 shares

Expires not disclosed

F1 · derivative.exercise_price: The reporting person acquired these deferred stock units (DSUs) under the Board of Directors Deferred Stock Unit Plan (the Plan) for service as a non-employee director. The Plan provides for payment of a portion or all of the annual director compensation in DSUs. Upon retirement or termination, the DSUs 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. The total also includes vested DSUs and vested deferred restricted stock units that the reporting person received from UTC, our former parent company, that were converted in the spin-off from UTC. Vested deferred restricted stock units are equivalent to DSUs. Both DSUs and deferred restricted stock units accrue dividend equivalents.

F1 · derivative.exercise_date: The reporting person acquired these deferred stock units (DSUs) under the Board of Directors Deferred Stock Unit Plan (the Plan) for service as a non-employee director. The Plan provides for payment of a portion or all of the annual director compensation in DSUs. Upon retirement or termination, the DSUs 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. The total also includes vested DSUs and vested deferred restricted stock units that the reporting person received from UTC, our former parent company, that were converted in the spin-off from UTC. Vested deferred restricted stock units are equivalent to DSUs. Both DSUs and deferred restricted stock units accrue dividend equivalents.

F1 · derivative.expiration_date: The reporting person acquired these deferred stock units (DSUs) under the Board of Directors Deferred Stock Unit Plan (the Plan) for service as a non-employee director. The Plan provides for payment of a portion or all of the annual director compensation in DSUs. Upon retirement or termination, the DSUs 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. The total also includes vested DSUs and vested deferred restricted stock units that the reporting person received from UTC, our former parent company, that were converted in the spin-off from UTC. Vested deferred restricted stock units are equivalent to DSUs. Both DSUs and deferred restricted stock units accrue dividend equivalents.

SEC source: 0001062993-21-003917 · form4.xml · derivative · entry 1

MCGRAW HAROLD III · CIK 0001191761 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,106.32

Underlying: Common Stock · 2,354.4304 shares

Expires not disclosed

F1 · derivative.exercise_price: The reporting person acquired these deferred stock units (DSUs) under the Board of Directors Deferred Stock Unit Plan (the Plan) for service as a non-employee director. The Plan provides for payment of a portion or all of the non-employee director compensation in DSUs. Upon retirement or termination, the DSUs 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. The total also includes vested deferred restricted stock units that the reporting person received from UTC, our former parent company, that were converted in the spin-off from UTC. These deferred restricted stock units are equivalent to DSUs.

F1 · derivative.exercise_date: The reporting person acquired these deferred stock units (DSUs) under the Board of Directors Deferred Stock Unit Plan (the Plan) for service as a non-employee director. The Plan provides for payment of a portion or all of the non-employee director compensation in DSUs. Upon retirement or termination, the DSUs 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. The total also includes vested deferred restricted stock units that the reporting person received from UTC, our former parent company, that were converted in the spin-off from UTC. These deferred restricted stock units are equivalent to DSUs.

F1 · derivative.expiration_date: The reporting person acquired these deferred stock units (DSUs) under the Board of Directors Deferred Stock Unit Plan (the Plan) for service as a non-employee director. The Plan provides for payment of a portion or all of the non-employee director compensation in DSUs. Upon retirement or termination, the DSUs 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. The total also includes vested deferred restricted stock units that the reporting person received from UTC, our former parent company, that were converted in the spin-off from UTC. These deferred restricted stock units are equivalent to DSUs.

SEC source: 0001534701-21-000023 · wf-form4_161118273026943.xml · nonDerivative · entry 1

MCGRAW HAROLD III · CIK 0001191761 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,622.4898

F1 · shares: Annual grant to non-employee directors of Restricted Stock Units (RSUs) that convert to Phillips 66 common stock on a 1-for-1 basis. The restrictions on the RSUs lapse after the retirement, disability or death of the non-employee director.

F2 · price: The price reflected above is the average of the high and the low price of the Company's stock on January 15, 2021.

F3 · balance_after: Includes 52,122.4898 RSUs, including additional units acquired through routine dividend transactions that are exempt under Rule 16a-11.

SEC source: 0001225208-20-007622 · doc4.xml · derivative · entry 1

MCGRAW HAROLD III · CIK 0001191761 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,716.878

Underlying: Common Stock · 3,590.041 shares

Expires not disclosed

F1 · derivative.exercise_price: The reporting person acquired these stock units under the Otis Worldwide 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 Otis Worldwide 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 Otis Worldwide 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 · ownership.direct: The reporting person, who was previously a member of the UTC Board of Directors, received Otis Deferred Stock Units in connection with the spin-off of the issuer from UTC that were attributable to his prior service on the UTC Board of Directors. The total reported includes these Deferred Stock Units.

SEC source: 0001062993-21-001096 · form4a.xml · derivative · entry 1

MCGRAW HAROLD III · CIK 0001191761 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,384.79

Underlying: Common Stock · 3,590.041 shares

Expires not disclosed

F1 · derivative.exercise_price: The reporting person acquired these stock units under the Otis Worldwide 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 Otis Worldwide 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 Otis Worldwide 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 · ownership.direct: The reporting person, who was previously a member of the UTC Board of Directors, received Otis Deferred Stock Units in connection with the spin-off of the issuer from UTC that were attributable to his prior service on the UTC Board of Directors. The total previously reported overstated the number of deferred stock units the reporting person received for his prior service with UTC. The total also includes vested deferred restricted stock units that the reporting person received from UTC that were converted in the spin-off as they are equivalent to deferred stock units.

SEC source: 0001534701-20-000017 · wf-form4_157929710189059.xml · nonDerivative · entry 1

MCGRAW HAROLD III · CIK 0001191761 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,298.8198

F1 · shares: Annual grant to non-employee directors of restricted stock units ("RSUs") that convert to Phillips 66 common stock on a 1-for-1 basis. The restrictions on the RSUs lapse on the retirement, disability or death of the non-employee director.

F2 · price: The price reflected above is the average of the high and the low price of the Company's stock on January 15, 2020.

F3 · balance_after: Includes 46,798.8198 RSUs, including additional units acquired through routine dividend transactions that are exempt under Rule 16a-11.

SEC source: 0001225208-19-007496 · doc4.xml · derivative · entry 2

MCGRAW HAROLD III · CIK 0001191761 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,804.8636

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: 0001534701-19-000015 · wf-form4_154776419468814.xml · nonDerivative · entry 1

MCGRAW HAROLD III · CIK 0001191761 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,800.3458

F1 · shares: Annual grant to non-employee directors of restricted stock units (RSUs) that convert to Phillips 66 common stock on a 1-for-1 basis. The restrictions on the RSUs lapse after the retirement, disability or death of the non-employee director.

F2 · price: The price reflected above is the average of the high and the low price of the Company's stock on January 15, 2019.

F3 · balance_after: Includes 43,300.3458 RSUs, including additional units acquired through routine dividend transactions that are exempt under Rule 16a-1.

SEC source: 0001225208-18-008364 · doc4.xml · derivative · entry 2

MCGRAW HAROLD III · CIK 0001191761 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,321.8316

Underlying: Common Stock · 1,498.1273 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: 0001534701-18-000022 · wf-form4_151631550110110.xml · nonDerivative · entry 1

MCGRAW HAROLD III · CIK 0001191761 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,942.2327

F1 · shares: Annual grant to non-employee directors of restricted stock units that convert to Phillips 66 common stock on a 1-for-1 basis. The restrictions on the RSUs lapse on the retirement, disability or death of the non-employee director.

F2 · price: The price reflected above is the average of the high and the low price of the Company's stock on the date of the award.

F3 · balance_after: Includes shares acquired through routine dividend transactions that are exempt under Rule 16a-1.

SEC source: 0001225208-17-008416 · doc4.xml · derivative · entry 2

MCGRAW HAROLD III · CIK 0001191761 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,699.3648

Underlying: Common Stock · 1,547.4553 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. 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. 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. 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: 0001534701-17-000010 · wf-form4_148475807487392.xml · nonDerivative · entry 1

MCGRAW HAROLD III · CIK 0001191761 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,801.7404

F1 · shares: Annual grant to non-employee directors of restricted stock units that convert to Phillips 66 common stock on a 1-for-1 basis. The restrictions on the RSUs lapse on the retirement, disability or death of the non-employee director.

F2 · price: The price reflected above is the average of the high and the low price of the Company's stock on January 13, 2017.

F3 · balance_after: Includes shares acquired through routine dividend transactions that are exempt under Rule 16a-1.

SEC source: 0001225208-16-031879 · doc4.xml · derivative · entry 2

MCGRAW HAROLD III · CIK 0001191761 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,005.9728

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: 0001225208-15-010572 · doc4.xml · derivative · entry 2

MCGRAW HAROLD III · CIK 0001191761 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,276.325

Underlying: Common Stock · 1,451.5293 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: 0001225208-15-008174 · doc4.xml · derivative · entry 5

MCGRAW HAROLD III · CIK 0001191761 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,000 shares

Expires 2015-04-12

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

SEC source: 0001225208-15-008174 · doc4.xml · nonDerivative · entry 4

MCGRAW HAROLD III · CIK 0001191761 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,605

SEC source: 0001225208-15-008174 · doc4.xml · nonDerivative · entry 3

MCGRAW HAROLD III · CIK 0001191761 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,305

SEC source: 0001225208-15-008174 · doc4.xml · nonDerivative · entry 2

MCGRAW HAROLD III · CIK 0001191761 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,505

SEC source: 0001225208-15-008174 · doc4.xml · nonDerivative · entry 1

MCGRAW HAROLD III · CIK 0001191761 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,605

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: 0001225208-15-006239 · doc4.xml · derivative · entry 9

MCGRAW HAROLD III · CIK 0001191761 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 350,560 shares

Expires 2015-03-31

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: 0001225208-15-006239 · doc4.xml · nonDerivative · entry 4

MCGRAW HAROLD III · CIK 0001191761 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,569,888.5858

SEC source: 0001225208-15-006239 · doc4.xml · nonDerivative · entry 3

MCGRAW HAROLD III · CIK 0001191761 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,723,888.5858

SEC source: 0001225208-15-006239 · doc4.xml · nonDerivative · entry 2

MCGRAW HAROLD III · CIK 0001191761 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,864,269.5858

SEC source: 0001225208-15-006239 · doc4.xml · nonDerivative · entry 1

MCGRAW HAROLD III · CIK 0001191761 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,972,288.5858

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: 0001225208-15-001051 · doc4.xml · nonDerivative · entry 2

MCGRAW HAROLD III · CIK 0001191761 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,621,728.5858

F1 · kind: Withholding of shares of Common Stock under the McGraw Hill Financial 2002 Stock Incentive Plan to satisfy withholding obligation in transaction exempt under and complying with Rule 16b-3.

SEC source: 0001225208-15-001051 · doc4.xml · nonDerivative · entry 1

MCGRAW HAROLD III · CIK 0001191761 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,674,479.5858

SEC source: 0001225208-14-015649 · doc4.xml · nonDerivative · entry 1

MCGRAW HAROLD III · CIK 0001191761 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,675,795.5858

SEC source: 0001225208-14-011406 · doc4.xml · derivative · entry 2

MCGRAW HAROLD III · CIK 0001191761 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,956.2547

Underlying: Common Stock · 1,325.4036 shares

Expires not disclosed

F1 · derivative.exercise_price: Consists of Phantom Stock Units acquired by the reporting person in respect of his/her annual retainer for services as a non-employee director under a company program that provides for payment of all or a portion of the retainer in deferred stock units. Upon termination of services on the Board of Directors, all such Phantom Stock Units are payable in cash as a lump sum or in installments, at the election of the director.

F1 · derivative.exercise_date: Consists of Phantom Stock Units acquired by the reporting person in respect of his/her annual retainer for services as a non-employee director under a company program that provides for payment of all or a portion of the retainer in deferred stock units. Upon termination of services on the Board of Directors, all such Phantom Stock Units are payable in cash as a lump sum or in installments, at the election of the director.

F1 · derivative.expiration_date: Consists of Phantom Stock Units acquired by the reporting person in respect of his/her annual retainer for services as a non-employee director under a company program that provides for payment of all or a portion of the retainer in deferred stock units. Upon termination of services on the Board of Directors, all such Phantom Stock Units are payable in cash as a lump sum or in installments, at the election of the director.

SEC source: 0001225208-14-008081 · doc4.xml · derivative · entry 3

MCGRAW HAROLD III · CIK 0001191761 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,000 shares

Expires 2014-04-13

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: 0001225208-14-008081 · doc4.xml · nonDerivative · entry 2

MCGRAW HAROLD III · CIK 0001191761 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,605

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold at a price ranging from $117.52 to $117.543. Upon request UTC will provide full informatoin as to shares sold at each separate price.

SEC source: 0001225208-14-008081 · doc4.xml · nonDerivative · entry 1

MCGRAW HAROLD III · CIK 0001191761 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,000

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

SEC source: 0001225208-14-006641 · doc4.xml · nonDerivative · entry 2

MCGRAW HAROLD III · CIK 0001191761 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,175,795.5858

F2 · kind: Withholding of shares of Common Stock under the McGraw Hill Financials 2002 Stock Incentive Plan to satisfy withholding obligation in transaction exempt under and complying with Rule 16b-3.

SEC source: 0001225208-14-006641 · doc4.xml · nonDerivative · entry 1

MCGRAW HAROLD III · CIK 0001191761 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,240,730.5858

F1 · kind: Represents acquisition of beneficial ownership due to the achievement of performance goal under performance share unit award.

SEC source: 0001225208-14-004118 · doc4.xml · nonDerivative · entry 7

MCGRAW HAROLD III · CIK 0001191761 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,114,814.5858

SEC source: 0001225208-14-004118 · doc4.xml · derivative · entry 13

MCGRAW HAROLD III · CIK 0001191761 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 213,730 shares

Expires 2014-03-31

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: 0001225208-14-004118 · doc4.xml · derivative · entry 12

MCGRAW HAROLD III · CIK 0001191761 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 174,970 shares

Expires 2014-03-31

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: 0001225208-14-004118 · doc4.xml · nonDerivative · entry 6

MCGRAW HAROLD III · CIK 0001191761 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,199,703.5858

SEC source: 0001225208-14-004118 · doc4.xml · nonDerivative · entry 5

MCGRAW HAROLD III · CIK 0001191761 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,318,504.5858

SEC source: 0001225208-14-004118 · doc4.xml · nonDerivative · entry 4

MCGRAW HAROLD III · CIK 0001191761 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,416,776.5858

SEC source: 0001225208-14-004118 · doc4.xml · nonDerivative · entry 3

MCGRAW HAROLD III · CIK 0001191761 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,474,547.5858

SEC source: 0001225208-14-004118 · doc4.xml · nonDerivative · entry 2

MCGRAW HAROLD III · CIK 0001191761 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,503,514.5858

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: 0001225208-14-004118 · doc4.xml · nonDerivative · entry 1

MCGRAW HAROLD III · CIK 0001191761 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,328,544.5858

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: 0001225208-13-022434 · doc4.xml · nonDerivative · entry 1

MCGRAW HAROLD III · CIK 0001191761 · Director · Chairman, President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,114,814.5858

SEC source: 0001225208-13-011345 · doc4.xml · nonDerivative · entry 1

MCGRAW HAROLD III · CIK 0001191761 · Director · Chairman, President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,116,410.5858

SEC source: 0001225208-13-010878 · doc4.xml · derivative · entry 2

MCGRAW HAROLD III · CIK 0001191761 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,807.7245

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: 0001225208-13-009299 · doc4.xml · derivative · entry 6

MCGRAW HAROLD III · CIK 0001191761 · Director · Chairman, President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,989

Underlying: Common Stock · 97,989 shares

Expires 2023-03-31

F1 · derivative.exercise_date: The option becomes exercisable 33% on the first anniversary of the grant, 33% on the second anniversary of the grant and 34% on the third anniversary of the grant.

SEC source: 0001225208-13-006756 · doc4.xml · derivative · entry 8

MCGRAW HAROLD III · CIK 0001191761 · Director · Chairman, President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 312,644 shares

Expires 2013-03-31

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: 0001225208-13-006756 · doc4.xml · nonDerivative · entry 3

MCGRAW HAROLD III · CIK 0001191761 · Director · Chairman, President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,116,409.5858

SEC source: 0001225208-13-006756 · doc4.xml · nonDerivative · entry 2

MCGRAW HAROLD III · CIK 0001191761 · Director · Chairman, President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,419,171.5858