DOKKUM JAN VAN

SEC source: 0001628280-26-016475 · wk-form4_1773174569.xml · derivative · entry 1

DOKKUM JAN VAN · CIK 0001270743 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,578

Underlying: Class A Common Stock · 5,578 shares

Expires 2036-03-06

F1 · derivative.exercise_date: The stock options will vest as to 25% on each of the first four anniversaries of March 15, 2026.

SEC source: 0000950142-26-000577 · es260745122_4-dokkum.xml · derivative · entry 4

DOKKUM JAN VAN · CIK 0001270743 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 38,647 shares

Expires 2031-02-04

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.

F4 · derivative.exercise_date: Consists of 38,647 stock options granted on February 4, 2021, which vested as to 9,662 on each of February 4, 2022, February 4, 2023 and February 4, 2024, and as to 9,661 on February 4, 2025.

SEC source: 0000950142-26-000577 · es260745122_4-dokkum.xml · nonDerivative · entry 3

DOKKUM JAN VAN · CIK 0001270743 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,000

F3 · price: The trade was executed in a series of transactions with a price range of $255.04 to $255.84, inclusive, with a weighted average price of $255.42.

F1 · ownership.direct: Reported shares shown are held by Mr. Joseph van Dokkum and Mrs. Lynn van Dokkum, as tenants in common.

SEC source: 0000950142-26-000577 · es260745122_4-dokkum.xml · nonDerivative · entry 2

DOKKUM JAN VAN · CIK 0001270743 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,658

F2 · price: The trade was executed in a series of transactions with a price range of $254.00 to $254.99, inclusive, with a weighted average price of $254.49. The reporting person undertakes to provide to Vertiv Holdings Co, any security holder of Vertiv Holdings Co, 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 this footnote and in footnote 3.

F1 · ownership.direct: Reported shares shown are held by Mr. Joseph van Dokkum and Mrs. Lynn van Dokkum, as tenants in common.

SEC source: 0000950142-26-000577 · es260745122_4-dokkum.xml · nonDerivative · entry 1

DOKKUM JAN VAN · CIK 0001270743 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 63,647

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 · ownership.direct: Reported shares shown are held by Mr. Joseph van Dokkum and Mrs. Lynn van Dokkum, as tenants in common.

SEC source: 0001628280-25-011982 · wk-form4_1741724123.xml · derivative · entry 1

DOKKUM JAN VAN · CIK 0001270743 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Class A Common Stock · 15,000 shares

Expires 2035-03-07

F1 · derivative.exercise_date: The stock options will vest as to 25% on each of the first four anniversaries of March 15, 2025

SEC source: 0001628280-24-049280 · wk-form4_1732655934.xml · derivative · entry 3

DOKKUM JAN VAN · CIK 0001270743 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 38,647 shares

Expires 2030-02-07

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.

F3 · derivative.exercise_date: The stock option vested as to 25% on each of February 7, 2021, February 7, 2022, February 7, 2023 and February 7, 2024

SEC source: 0001628280-24-049280 · wk-form4_1732655934.xml · nonDerivative · entry 2

DOKKUM JAN VAN · CIK 0001270743 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,000

F1 · price: The trade was executed in a series of transactions with a price range of $136.3401 to $136.66, inclusive, with a weighted average price of $136.391. The reporting person undertakes to provide to Vertiv Holdings Co, any security holder of Vertiv Holdings Co, 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 this footnote.

F2 · ownership.direct: Reported shares shown are held by Mr. Joseph van Dokkum and Mrs. Lynn van Dokkum, as tenants in common.

SEC source: 0001628280-24-049280 · wk-form4_1732655934.xml · nonDerivative · entry 1

DOKKUM JAN VAN · CIK 0001270743 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 63,647

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: 0001628280-24-010248 · wk-form4_1710189088.xml · derivative · entry 1

DOKKUM JAN VAN · CIK 0001270743 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Class A Common Stock · 15,000 shares

Expires 2034-03-07

F1 · derivative.exercise_date: The stock options will vest as to 25% on each of the first four anniversaries of March 15, 2024.

SEC source: 0001628280-23-007363 · wf-form4_167839999165790.xml · derivative · entry 1

DOKKUM JAN VAN · CIK 0001270743 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Class A Common Stock · 30,000 shares

Expires 2033-03-07

F1 · derivative.exercise_date: The stock options will vest as to 25% on each of the first four anniversaries of March 15, 2023.

SEC source: 0000950142-22-000951 · es220232030_4-dokkum.xml · derivative · entry 1

DOKKUM JAN VAN · CIK 0001270743 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,647

Underlying: Class A Common Stock · 38,647 shares

Expires 2032-03-03

F1 · derivative.exercise_date: The stock options will vest as to 25% on each of the first four anniversaries of the grant date.

SEC source: 0000950142-21-000444 · es210130286_4-dokkum.xml · derivative · entry 1

DOKKUM JAN VAN · CIK 0001270743 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,647

Underlying: Class A Common Stock · 38,647 shares

Expires 2031-02-04

F1 · derivative.exercise_date: The stock options will vest as to 25% on each of the first four anniversaries of the grant date.

SEC source: 0000899243-20-004123 · doc4.xml · derivative · entry 1

DOKKUM JAN VAN · CIK 0001270743 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,647

Underlying: Class A common stock · 38,647 shares

Expires 2030-02-07

F1 · derivative.exercise_date: The stock option will vest as to 25% on each of February 7, 2021, February 7, 2022, February 7, 2023 and February 7, 2024.

SEC source: 0001225208-09-000509 · doc4.xml · derivative · entry 1

DOKKUM JAN VAN · CIK 0001270743 · President, UTC Power

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,289.0207

Underlying: Common Stock · 23.3209 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.exercise_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.expiration_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

SEC source: 0001225208-08-019489 · doc4.xml · derivative · entry 1

DOKKUM JAN VAN · CIK 0001270743 · President, UTC Power

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,265.6998

Underlying: Common Stock · 25.1864 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.exercise_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.expiration_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

SEC source: 0001225208-08-018737 · doc4.xml · derivative · entry 1

DOKKUM JAN VAN · CIK 0001270743 · President, UTC Power

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,183.1208

Underlying: Common Stock · 26.189 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.exercise_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.expiration_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

SEC source: 0001225208-08-018059 · doc4.xml · derivative · entry 1

DOKKUM JAN VAN · CIK 0001270743 · President, UTC Power

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,156.9318

Underlying: Common Stock · 24.8855 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.exercise_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.expiration_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

SEC source: 0001225208-08-017350 · doc4.xml · derivative · entry 1

DOKKUM JAN VAN · CIK 0001270743 · President, UTC Power

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,132.0463

Underlying: Common Stock · 22.7438 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.exercise_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.expiration_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

SEC source: 0001225208-08-016434 · doc4.xml · derivative · entry 1

DOKKUM JAN VAN · CIK 0001270743 · President, UTC Power

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,109.3025

Underlying: Common Stock · 25.3807 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.exercise_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.expiration_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

SEC source: 0001225208-08-015681 · doc4.xml · derivative · entry 1

DOKKUM JAN VAN · CIK 0001270743 · President, UTC Power

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,083.9218

Underlying: Common Stock · 20.8125 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.exercise_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.expiration_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

SEC source: 0001225208-08-014864 · doc4.xml · derivative · entry 1

DOKKUM JAN VAN · CIK 0001270743 · President, UTC Power

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,063.1093

Underlying: Common Stock · 19.8035 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.exercise_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.expiration_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

SEC source: 0001225208-08-014309 · doc4.xml · derivative · entry 1

DOKKUM JAN VAN · CIK 0001270743 · President, UTC Power

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,007.9858

Underlying: Common Stock · 19.0578 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.exercise_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.expiration_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

SEC source: 0001225208-08-013864 · doc4.xml · derivative · entry 1

DOKKUM JAN VAN · CIK 0001270743 · President, UTC Power

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,988.928

Underlying: Common Stock · 18.7126 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.exercise_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.expiration_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

SEC source: 0001225208-08-012982 · doc4.xml · derivative · entry 1

DOKKUM JAN VAN · CIK 0001270743 · President, UTC Power

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,970.2154

Underlying: Common Stock · 19.5374 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.exercise_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.expiration_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

SEC source: 0001225208-08-012076 · doc4.xml · derivative · entry 1

DOKKUM JAN VAN · CIK 0001270743 · President, UTC Power

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,950.678

Underlying: Common Stock · 20.8056 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.exercise_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.expiration_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

SEC source: 0001225208-08-011429 · doc4.xml · derivative · entry 1

DOKKUM JAN VAN · CIK 0001270743 · President, UTC Power

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,929.8724

Underlying: Common Stock · 20.2593 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.exercise_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.expiration_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

SEC source: 0001225208-08-010461 · doc4.xml · derivative · entry 1

DOKKUM JAN VAN · CIK 0001270743 · President, UTC Power

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,909.6131

Underlying: Common Stock · 18.2322 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.exercise_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.expiration_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

SEC source: 0001225208-08-009890 · doc4.xml · derivative · entry 1

DOKKUM JAN VAN · CIK 0001270743 · President, UTC Power

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,858.7457

Underlying: Common Stock · 17.5958 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.exercise_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.expiration_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

SEC source: 0001225208-08-008900 · doc4.xml · derivative · entry 1

DOKKUM JAN VAN · CIK 0001270743 · President, UTC Power

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,841.1499

Underlying: Common Stock · 16.826 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.exercise_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.expiration_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

SEC source: 0001181431-08-028291 · rrd205091.xml · derivative · entry 1

DOKKUM JAN VAN · CIK 0001270743 · President, UTC Power

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,824.324

Underlying: Common Stock · 17.2485 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.exercise_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.expiration_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

SEC source: 0001225208-08-006719 · doc4.xml · derivative · entry 1

DOKKUM JAN VAN · CIK 0001270743 · President, UTC Power

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,807.0754

Underlying: Common Stock · 17.6454 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.exercise_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.expiration_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

SEC source: 0001225208-08-006047 · doc4.xml · derivative · entry 1

DOKKUM JAN VAN · CIK 0001270743 · President, UTC Power

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,789.43

Underlying: Common Stock · 18.1633 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.exercise_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.expiration_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

SEC source: 0001225208-08-005168 · doc4.xml · derivative · entry 1

DOKKUM JAN VAN · CIK 0001270743 · President, UTC Power

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,771.2667

Underlying: Common Stock · 18.4611 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.exercise_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.expiration_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

SEC source: 0001225208-08-004346 · doc4.xml · derivative · entry 1

DOKKUM JAN VAN · CIK 0001270743 · President, UTC Power

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,720.4206

Underlying: Common Stock · 17.728 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.exercise_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.expiration_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

SEC source: 0001225208-08-003138 · doc4.xml · derivative · entry 1

DOKKUM JAN VAN · CIK 0001270743 · President, UTC Power

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,702.6926

Underlying: Common Stock · 17.4752 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.exercise_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.expiration_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

SEC source: 0001225208-08-001994 · doc4.xml · derivative · entry 1

DOKKUM JAN VAN · CIK 0001270743 · President, UTC Power

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,685.2174

Underlying: Common Stock · 17.0602 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.exercise_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.expiration_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

SEC source: 0001225208-08-001319 · doc4.xml · derivative · entry 1

DOKKUM JAN VAN · CIK 0001270743 · President, UTC Power

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,668.1572

Underlying: Common Stock · 17.5168 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.exercise_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.expiration_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

SEC source: 0001225208-08-000660 · doc4.xml · derivative · entry 1

DOKKUM JAN VAN · CIK 0001270743 · President, UTC Power

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,500

Underlying: Common Stock · 27,500 shares

Expires 2018-01-01

F1 · balance_after: The reporting person was also awarded 6,600 performance share units (PSUs) under the UTC Long Term Incentive Plan. Each PSU has a value equal to one share of UTC common stock. These PSUs vest solely upon achievement of pre-established performance targets for UTC's earnings per share and total shareholder return over a three year performance period.

SEC source: 0001225208-07-010654 · doc4.xml · derivative · entry 1

DOKKUM JAN VAN · CIK 0001270743 · President, UTC Power

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,623.888

Underlying: Common Stock · 41.5719 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.exercise_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.expiration_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

SEC source: 0000101829-07-000036 · van592.xml · derivative · entry 1

DOKKUM JAN VAN · CIK 0001270743 · President, UTC Power

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,503.2276

Underlying: Common Stock · 108.5466 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.exercise_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.expiration_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

SEC source: 0000101829-07-000028 · van587.xml · derivative · entry 1

DOKKUM JAN VAN · CIK 0001270743 · President, UTC Power

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,000

Underlying: Common Stock · 32,000 shares

Expires 2017-01-02

F1 · balance_after: The reporting person was also awarded 8,700 performance share units (PSUs) under the UTC Long Term Incentive Plan. Each PSU has a value equal to one share of UTC common stock. These PSUs vest solely upon achievement of pre-established performance targets for UTC's earnings per share and total shareholder return over a three year performance period.

SEC source: 0000101829-06-000148 · van575.xml · derivative · entry 1

DOKKUM JAN VAN · CIK 0001270743 · President, UTC Power

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,369.1542

Underlying: Common Stock · 106.927 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.exercise_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.expiration_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

SEC source: 0000101829-06-000064 · van528.xml · derivative · entry 1

DOKKUM JAN VAN · CIK 0001270743 · President, UTC Power

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2016-03-07

SEC source: 0000101829-06-000042 · van519.xml · derivative · entry 1

DOKKUM JAN VAN · CIK 0001270743 · President, UTC Power

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,185.278

Underlying: Common Stock · 117.9487 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.exercise_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.expiration_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

SEC source: 0000101829-06-000030 · van511.xml · derivative · entry 1

DOKKUM JAN VAN · CIK 0001270743 · President, UTC Power

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2016-01-02

F1 · balance_after: The reporting person was also awarded 10,700 performance share units (PSUs) under the UTC Long Term Incentive Plan. Each PSU has a value equal to one share of UTC common stock. These PSUs vest solely upon achievement of pre-established performance targets for UTC's earnings per share and total shareholder return over a three year performance period.

SEC source: 0000101829-06-000002 · van499.xml · derivative · entry 1

DOKKUM JAN VAN · CIK 0001270743 · President, UTC Power

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,067.3293

Underlying: Common Stock · 34.2813 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.exercise_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.expiration_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

SEC source: 0000101829-05-000199 · van490.xml · derivative · entry 1

DOKKUM JAN VAN · CIK 0001270743 · President, UTC Power

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,033.048

Underlying: Common Stock · 33.2755 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.exercise_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.expiration_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

SEC source: 0000101829-05-000189 · van479.xml · derivative · entry 1

DOKKUM JAN VAN · CIK 0001270743 · President, UTC Power

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,976.245

Underlying: Common Stock · 35.5994 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.exercise_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.expiration_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

SEC source: 0000101829-05-000187 · van478.xml · derivative · entry 1

DOKKUM JAN VAN · CIK 0001270743 · President, UTC Power

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,940.6456

Underlying: Common Stock · 35.886 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.exercise_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.

F1 · derivative.expiration_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Each unit has a value equal to one share of Common Stock and units are payable in cash following termination of employment, retirement or death.