KANGAS EDWARD A

SEC source: 0001225208-25-006239 · doc4.xml · nonDerivative · entry 1

KANGAS EDWARD A · CIK 0001211047 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,338

SEC source: 0001225208-25-006039 · doc4.xml · nonDerivative · entry 1

KANGAS EDWARD A · CIK 0001211047 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,838

SEC source: 0001225208-25-005990 · doc4.xml · nonDerivative · entry 1

KANGAS EDWARD A · CIK 0001211047 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,246

F1 · kind: Reflects the withholding of shares of Class A Common Stock, par value $.01 per share, non-cumulative ("Class A Common Stock"), for cash to cover the Reporting Person's estimated tax liability in connection with the distribution of shares of Class A Common Stock related to vested restricted stock units. The withholding of shares was approved by the Issuer's board of directors pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended.

SEC source: 0001225208-25-005882 · doc4.xml · nonDerivative · entry 1

KANGAS EDWARD A · CIK 0001211047 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,226

F1 · kind: Reflects the withholding of shares of Class A Common Stock, par value $.01 per share, non-cumulative ("Class A Common Stock"), for cash to cover the Reporting Person's estimated tax liability in connection with the distribution of shares of Class A Common Stock related to vested restricted stock units. The withholding of shares was approved by the Issuer's board of directors pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended.

SEC source: 0001225208-25-003011 · doc4.xml · nonDerivative · entry 1

KANGAS EDWARD A · CIK 0001211047 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,290

SEC source: 0001225208-24-009337 · doc4.xml · nonDerivative · entry 2

KANGAS EDWARD A · CIK 0001211047 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,290

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $189.30 to $189.63, inclusive. The reporting person undertakes to provide to Hovnanian Enterprises Inc., any security holder of Hovnanian Enterprises Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4.

SEC source: 0001225208-24-009337 · doc4.xml · nonDerivative · entry 1

KANGAS EDWARD A · CIK 0001211047 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 14,090

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $188.03 to $188.40, inclusive. The reporting person undertakes to provide to Hovnanian Enterprises Inc., any security holder of Hovnanian Enterprises Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (1) to this Form 4.

SEC source: 0001225208-24-008226 · doc4.xml · nonDerivative · entry 2

KANGAS EDWARD A · CIK 0001211047 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 14,790

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $232.20 to $232.21, inclusive. The reporting person undertakes to provide to Hovnanian Enterprises Inc., any security holder of Hovnanian Enterprises Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (1) to this Form 4.

SEC source: 0001225208-24-008226 · doc4.xml · nonDerivative · entry 1

KANGAS EDWARD A · CIK 0001211047 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,787

SEC source: 0001225208-24-006903 · doc4.xml · nonDerivative · entry 2

KANGAS EDWARD A · CIK 0001211047 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,790

F1 · kind: Reflects the withholding of shares of Class A Common Stock, par value $.01 per share, non-cumulative ("Class A Common Stock"), for cash to cover the Reporting Person's estimated tax liability in connection with the distribution of shares of Class A Common Stock related to vested restricted stock units. The withholding of shares was approved by the Issuer's board of directors pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended.

SEC source: 0001225208-24-006903 · doc4.xml · nonDerivative · entry 1

KANGAS EDWARD A · CIK 0001211047 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,113

SEC source: 0001225208-24-006820 · doc4.xml · nonDerivative · entry 2

KANGAS EDWARD A · CIK 0001211047 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,106

F1 · kind: Reflects the withholding of shares of Class A Common Stock, par value $.01 per share, non-cumulative ("Class A Common Stock"), for cash to cover the Reporting Person's estimated tax liability in connection with the distribution of shares of Class A Common Stock related to vested restricted stock units. The withholding of shares was approved by the Issuer's board of directors pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended.

SEC source: 0001225208-24-006820 · doc4.xml · nonDerivative · entry 1

KANGAS EDWARD A · CIK 0001211047 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,086

F1 · kind: Reflects the withholding of shares of Class A Common Stock, par value $.01 per share, non-cumulative ("Class A Common Stock"), for cash to cover the Reporting Person's estimated tax liability in connection with the distribution of shares of Class A Common Stock related to vested restricted stock units. The withholding of shares was approved by the Issuer's board of directors pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended.

SEC source: 0001225208-24-006514 · doc4.xml · nonDerivative · entry 2

KANGAS EDWARD A · CIK 0001211047 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,743

F2 · price: Represents the weighted average sales price for price increments ranging from $144.00 to $144.97. The Reporting Person undertakes to provide, upon request by the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price for all transactions reported on this Form 4.

SEC source: 0001225208-24-006514 · doc4.xml · nonDerivative · entry 1

KANGAS EDWARD A · CIK 0001211047 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,043

F1 · price: Represents the weighted average sales price for price increments ranging from $145.18 to $145.53. The Reporting Person undertakes to provide, upon request by the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price for all transactions reported on this Form 4.

SEC source: 0001225208-23-011231 · doc4.xml · nonDerivative · entry 1

KANGAS EDWARD A · CIK 0001211047 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,743

SEC source: 0001225208-23-009455 · doc4.xml · nonDerivative · entry 1

KANGAS EDWARD A · CIK 0001211047 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,743

F1 · price: Represents the weighted average sales price for price increments ranging from $86.00 to $86.55. The Reporting Person undertakes to provide, upon request by the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price for all transactions reported on this Form 4.

SEC source: 0001225208-23-006890 · doc4.xml · nonDerivative · entry 1

KANGAS EDWARD A · CIK 0001211047 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 34,243

F1 · kind: Reflects the withholding of shares of Class A Common Stock, par value $.01 per share, non-cumulative ("Class A Common Stock"), for cash to cover the Reporting Person's estimated tax liability in connection with the distribution of shares of Class A Common Stock related to vested restricted stock units. The withholding of shares was approved by the Issuer's board of directors pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended.

SEC source: 0001225208-23-006803 · doc4.xml · nonDerivative · entry 2

KANGAS EDWARD A · CIK 0001211047 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,567

F1 · kind: Reflects the withholding of shares of Class A Common Stock, par value $.01 per share, non-cumulative ("Class A Common Stock"), for cash to cover the Reporting Person's estimated tax liability in connection with the distribution of shares of Class A Common Stock related to vested restricted stock units. The withholding of shares was approved by the Issuer's board of directors pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended.

SEC source: 0001225208-23-006803 · doc4.xml · nonDerivative · entry 1

KANGAS EDWARD A · CIK 0001211047 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 37,547

SEC source: 0001225208-23-006744 · doc4.xml · nonDerivative · entry 1

KANGAS EDWARD A · CIK 0001211047 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,900

F1 · kind: Reflects the withholding of shares of Class A Common Stock, par value $.01 per share, non-cumulative ("Class A Common Stock"), for cash to cover the Reporting Person's estimated tax liability in connection with the distribution of shares of Class A Common Stock related to vested restricted stock units. The withholding of shares was approved by the Issuer's board of directors pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended.

SEC source: 0001225208-23-003573 · doc4.xml · nonDerivative · entry 1

KANGAS EDWARD A · CIK 0001211047 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,257

SEC source: 0001225208-22-008123 · doc4.xml · nonDerivative · entry 1

KANGAS EDWARD A · CIK 0001211047 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,547

F1 · kind: Reflects the withholding of shares of Class A Common Stock, par value $.01 per share, non-cumulative ("Class A Common Stock"), for cash to cover the Reporting Person's estimated tax liability in connection with the distribution of shares of Class A Common Stock related to vested restricted stock units. The withholding of shares was approved by the Issuer's board of directors pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended.

SEC source: 0001225208-22-008172 · doc4a.xml · nonDerivative · entry 1

KANGAS EDWARD A · CIK 0001211047 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,257

F1 · kind: Reflects the withholding of shares of Class A Common Stock, par value $.01 per share, non-cumulative ("Class A Common Stock"), for cash to cover the Reporting Person's estimated tax liability in connection with the distribution of shares of Class A Common Stock related to vested restricted stock units. The withholding of shares was approved by the Issuer's board of directors pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended.

SEC source: 0001225208-22-008090 · doc4.xml · nonDerivative · entry 1

KANGAS EDWARD A · CIK 0001211047 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,581

SEC source: 0001225208-22-007989 · doc4.xml · nonDerivative · entry 2

KANGAS EDWARD A · CIK 0001211047 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,707

F1 · kind: Reflects the withholding of shares of Class A Common Stock, par value $.01 per share, non-cumulative ("Class A Common Stock"), for cash to cover the Reporting Person's estimated tax liability in connection with the distribution of shares of Class A Common Stock related to vested restricted stock units. The withholding of shares was approved by the Issuer's board of directors pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended.

SEC source: 0001225208-22-007989 · doc4.xml · nonDerivative · entry 1

KANGAS EDWARD A · CIK 0001211047 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,026

F1 · kind: Reflects the withholding of shares of Class A Common Stock, par value $.01 per share, non-cumulative ("Class A Common Stock"), for cash to cover the Reporting Person's estimated tax liability in connection with the distribution of shares of Class A Common Stock related to vested restricted stock units. The withholding of shares was approved by the Issuer's board of directors pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended.

SEC source: 0001225208-21-009439 · doc4.xml · nonDerivative · entry 1

KANGAS EDWARD A · CIK 0001211047 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,383

SEC source: 0001225208-21-009304 · doc4.xml · nonDerivative · entry 2

KANGAS EDWARD A · CIK 0001211047 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,610

F1 · kind: Reflects the withholding of shares of Class A Common Stock, par value $.01 per share, non-cumulative ("Class A Common Stock"), for cash to cover the Reporting Person's estimated tax liability in connection with the distribution of shares of Class A Common Stock related to vested restricted stock units. The withholding of shares was approved by the Issuer's board of directors pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended.

SEC source: 0001225208-21-009304 · doc4.xml · nonDerivative · entry 1

KANGAS EDWARD A · CIK 0001211047 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,030

F1 · kind: Reflects the withholding of shares of Class A Common Stock, par value $.01 per share, non-cumulative ("Class A Common Stock"), for cash to cover the Reporting Person's estimated tax liability in connection with the distribution of shares of Class A Common Stock related to vested restricted stock units. The withholding of shares was approved by the Issuer's board of directors pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended.

SEC source: 0001225208-21-009248 · doc4.xml · nonDerivative · entry 1

KANGAS EDWARD A · CIK 0001211047 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,349

F1 · kind: Reflects the withholding of shares of Class A Common Stock, par value $.01 per share, non-cumulative ("Class A Common Stock"), for cash to cover the Reporting Person's estimated tax liability in connection with the distribution of shares of Class A Common Stock related to vested restricted stock units. The withholding of shares was approved by the Issuer's board of directors pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended.

SEC source: 0001225208-21-006463 · doc4.xml · derivative · entry 4

KANGAS EDWARD A · CIK 0001211047 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 1,188 shares

Expires 2021-06-09

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

F1 · shares: Adjusted for the Issuer's 1-for-25 reverse stock split with respect to the Class A Common Stock, par value $.01 per share, non-cumulative ("Class A Common Stock"), that occurred on March 29, 2019.

F5 · price: N/A

F4 · derivative.exercise_date: The option is fully vested

F1 · derivative.underlying_shares: Adjusted for the Issuer's 1-for-25 reverse stock split with respect to the Class A Common Stock, par value $.01 per share, non-cumulative ("Class A Common Stock"), that occurred on March 29, 2019.

SEC source: 0001225208-21-006463 · doc4.xml · nonDerivative · entry 3

KANGAS EDWARD A · CIK 0001211047 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,706

F3 · kind: Reflects the withholding of shares of Class A Common Stock to cover the exercise price of the options reported as exercised herein

SEC source: 0001225208-21-006463 · doc4.xml · nonDerivative · entry 2

KANGAS EDWARD A · CIK 0001211047 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,197

F2 · kind: Reflects the withholding of shares of Class A Common Stock for cash to cover the Reporting Person's estimated tax liability in connection with the exercise of the options reported herein

SEC source: 0001225208-21-006463 · doc4.xml · nonDerivative · entry 1

KANGAS EDWARD A · CIK 0001211047 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,455

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

F1 · shares: Adjusted for the Issuer's 1-for-25 reverse stock split with respect to the Class A Common Stock, par value $.01 per share, non-cumulative ("Class A Common Stock"), that occurred on March 29, 2019.

SEC source: 0001225208-20-009036 · doc4.xml · nonDerivative · entry 1

KANGAS EDWARD A · CIK 0001211047 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,267

SEC source: 0001225208-20-008847 · doc4.xml · nonDerivative · entry 2

KANGAS EDWARD A · CIK 0001211047 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,325

F1 · kind: Reflects the withholding of shares of Class A Common Stock, par value $.01 per share, non-cumulative ("Class A Common Stock"), for cash to cover the Reporting Person's estimated tax liability in connection with the distribution of shares of Class A Common Stock related to vested restricted stock units. The withholding of shares was approved by the Issuer's board of directors pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended.

SEC source: 0001225208-20-008847 · doc4.xml · nonDerivative · entry 1

KANGAS EDWARD A · CIK 0001211047 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,745

F1 · kind: Reflects the withholding of shares of Class A Common Stock, par value $.01 per share, non-cumulative ("Class A Common Stock"), for cash to cover the Reporting Person's estimated tax liability in connection with the distribution of shares of Class A Common Stock related to vested restricted stock units. The withholding of shares was approved by the Issuer's board of directors pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended.

SEC source: 0001123292-20-000323 · edgar.xml · derivative · entry 1

KANGAS EDWARD A · CIK 0001211047 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires not disclosed

F1 · derivative.exercise_date: One twelfth (1/12th) of the total number of shares underlying the option vest and become exercisable on the monthly anniversary date following June 5, 2019, subject to the reporting person continuing to be a Service Provider (as defined in the Issuer's 2018 Equity Incentive Plan) on the relevant vesting dates.

F2 · derivative.expiration_date: The option expires on the earlier of (a) February 20, 2027 and (b) the six (6) month anniversary of the date the reporting person ceases to be a Service Provider.

SEC source: 0001209191-19-047828 · doc4.xml · nonDerivative · entry 1

KANGAS EDWARD A · CIK 0001211047 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,138

F1 · shares: The shares were sold in open market broker transactions.

F2 · price: The price is the weighted average sales price of the aggregate number of shares that were sold by the reporting person. These shares were sold in multiple transactions at prices ranging from $20.23 to $20.41. The reporting person undertakes to provide to the Company, any security holder of the Company or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price.

SEC source: 0001225208-19-009393 · doc4.xml · nonDerivative · entry 1

KANGAS EDWARD A · CIK 0001211047 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,064

F1 · balance_after: Adjusted for the Issuer's 1-for-25 reverse stock split with respect to the Class A Common Stock, par value $.01 per share, non-cumulative ("Class A Common Stock"), that occurred on March 29, 2019.

SEC source: 0001209191-19-028063 · doc4.xml · nonDerivative · entry 1

KANGAS EDWARD A · CIK 0001211047 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,138

F1 · security: Represents restricted stock units granted under the Company's Stock Incentive Plan. Each restricted stock unit is the economic equivalent of one share of the Company's common stock. All of these restricted stock units vested immediately on the grant date and will be settled in shares of common stock on the third anniversary of the date of grant (unless deferred settlement has been elected).

F1 · shares: Represents restricted stock units granted under the Company's Stock Incentive Plan. Each restricted stock unit is the economic equivalent of one share of the Company's common stock. All of these restricted stock units vested immediately on the grant date and will be settled in shares of common stock on the third anniversary of the date of grant (unless deferred settlement has been elected).

SEC source: 0001225208-18-010566 · doc4.xml · nonDerivative · entry 1

KANGAS EDWARD A · CIK 0001211047 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 480,646

SEC source: 0001209191-18-028612 · doc4.xml · nonDerivative · entry 1

KANGAS EDWARD A · CIK 0001211047 · Director · Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,321

F1 · security: Represents restricted stock units granted under the Company's Stock Incentive Plan. Each restricted stock unit is the economic equivalent of one share of the Company's common stock. All of these restricted stock units vested immediately on the grant date and will be settled in shares of common stock on the third anniversary of the date of grant (unless deferred settlement has been elected).

F1 · shares: Represents restricted stock units granted under the Company's Stock Incentive Plan. Each restricted stock unit is the economic equivalent of one share of the Company's common stock. All of these restricted stock units vested immediately on the grant date and will be settled in shares of common stock on the third anniversary of the date of grant (unless deferred settlement has been elected).

SEC source: 0001225208-17-011269 · doc4.xml · nonDerivative · entry 1

KANGAS EDWARD A · CIK 0001211047 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 408,357

SEC source: 0001209191-17-030994 · doc4.xml · derivative · entry 3

KANGAS EDWARD A · CIK 0001211047 · Director · Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,960 shares

Expires not disclosed

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

F2 · derivative.exercise_price: As previously reported, on May 9, 2014, the reporting person received a grant of 4,960 restricted stock units which vested immediately and settled on the third anniversary of the date of grant. The third anniversary occurred on May 9, 2017, resulting in settlement of 4,960 shares of common stock, as shown in Table I.

F3 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_date: As previously reported, on May 9, 2014, the reporting person received a grant of 4,960 restricted stock units which vested immediately and settled on the third anniversary of the date of grant. The third anniversary occurred on May 9, 2017, resulting in settlement of 4,960 shares of common stock, as shown in Table I.

F2 · derivative.expiration_date: As previously reported, on May 9, 2014, the reporting person received a grant of 4,960 restricted stock units which vested immediately and settled on the third anniversary of the date of grant. The third anniversary occurred on May 9, 2017, resulting in settlement of 4,960 shares of common stock, as shown in Table I.

SEC source: 0001209191-17-030994 · doc4.xml · nonDerivative · entry 2

KANGAS EDWARD A · CIK 0001211047 · Director · Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,882

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

F2 · security: As previously reported, on May 9, 2014, the reporting person received a grant of 4,960 restricted stock units which vested immediately and settled on the third anniversary of the date of grant. The third anniversary occurred on May 9, 2017, resulting in settlement of 4,960 shares of common stock, as shown in Table I.

F3 · price: Restricted stock units convert into common stock on a one-for-one basis.

SEC source: 0001209191-17-030994 · doc4.xml · nonDerivative · entry 1

KANGAS EDWARD A · CIK 0001211047 · Director · Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,922

F1 · security: Represents restricted stock units granted under the Company's Stock Incentive Plan. Each restricted stock unit is the economic equivalent of one share of the Company's common stock. All of these restricted stock units vested immediately on the grant date and will be settled in shares of common stock on the third anniversary of the date of grant (unless deferred settlement has been elected).

F1 · shares: Represents restricted stock units granted under the Company's Stock Incentive Plan. Each restricted stock unit is the economic equivalent of one share of the Company's common stock. All of these restricted stock units vested immediately on the grant date and will be settled in shares of common stock on the third anniversary of the date of grant (unless deferred settlement has been elected).

SEC source: 0001225208-17-008412 · doc4.xml · derivative · entry 1

KANGAS EDWARD A · CIK 0001211047 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,468.9159

Underlying: Common Stock · 2,166.4374 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: 0001225208-16-031876 · doc4.xml · derivative · entry 1

KANGAS EDWARD A · CIK 0001211047 · Director · non-executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,468.8227

Underlying: Common Stock · 2,737.6426 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.