HARKIN RUTH R

SEC source: 0001358582-06-000017 · edgar.xml · derivative · entry 1

HARKIN RUTH R · CIK 0001184189 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,217

Underlying: Common Stock · 124 shares

Expires not disclosed

F1 · derivative.exercise_price: 1-for-1.

F2 · derivative.exercise_date: The reporting person has elected to receive payment as a lump sum upon her termination of service, which election may be changed by the reporting person to provide for deferred payments.

F2 · derivative.expiration_date: The reporting person has elected to receive payment as a lump sum upon her termination of service, which election may be changed by the reporting person to provide for deferred payments.

SEC source: 0001177418-06-000012 · edgar.xml · derivative · entry 1

HARKIN RUTH R · CIK 0001184189 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,093

Underlying: Common Stock · 132 shares

Expires not disclosed

F1 · derivative.exercise_price: 1-for-1.

F2 · derivative.exercise_date: The reporting person has elected to receive payment as a lump sum upon her termination of service, which election may be changed by the reporting person to provide for deferred payments.

F2 · derivative.expiration_date: The reporting person has elected to receive payment as a lump sum upon her termination of service, which election may be changed by the reporting person to provide for deferred payments.

SEC source: 0001320923-06-000041 · edgar.xml · derivative · entry 1

HARKIN RUTH R · CIK 0001184189 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,938

Underlying: Common Stock · 137 shares

Expires not disclosed

F1 · derivative.exercise_price: 1-for-1.

F2 · derivative.exercise_date: The reporting person has elected to receive payment as a lump sum upon her termination of service, which election may be changed by the reporting person to provide for deferred payments.

F2 · derivative.expiration_date: The reporting person has elected to receive payment as a lump sum upon her termination of service, which election may be changed by the reporting person to provide for deferred payments.

SEC source: 0001315886-06-000076 · edgar.xml · derivative · entry 1

HARKIN RUTH R · CIK 0001184189 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,801

Underlying: Common Stock · 129 shares

Expires not disclosed

F1 · derivative.exercise_price: 1-for-1.

F2 · derivative.exercise_date: The reporting person has elected to receive payment as a lump sum upon her termination of service, which election may be changed by the reporting person to provide for deferred payments.

F2 · derivative.expiration_date: The reporting person has elected to receive payment as a lump sum upon her termination of service, which election may be changed by the reporting person to provide for deferred payments.

SEC source: 0001315886-06-000053 · edgar.xml · derivative · entry 1

HARKIN RUTH R · CIK 0001184189 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,672

Underlying: Common Stock · 1,649 shares

Expires not disclosed

F1 · derivative.exercise_price: 1-for-1.

F2 · derivative.exercise_date: The reporting person has elected to receive payment as a lump sum upon her termination of service, which election may be changed by the reporting person to provide for deferred payments.

F2 · derivative.expiration_date: The reporting person has elected to receive payment as a lump sum upon her termination of service, which election may be changed by the reporting person to provide for deferred payments.

SEC source: 0001315886-05-000048 · edgar.xml · derivative · entry 1

HARKIN RUTH R · CIK 0001184189 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 992

Underlying: Common Stock · 992 shares

Expires not disclosed

F1 · derivative.exercise_price: 1-for-1.

F2 · derivative.exercise_date: The reporting person has elected to receive payment as a lump sum upon her termination of service, which election may be changed by the reporting person to provide for deferred payments.

F2 · derivative.expiration_date: The reporting person has elected to receive payment as a lump sum upon her termination of service, which election may be changed by the reporting person to provide for deferred payments.

SEC source: 0000101829-04-000209 · har315.xml · nonDerivative · entry 11

HARKIN RUTH R · CIK 0001184189 · SVP Intl Affairs & Gov't Rltns

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,000

SEC source: 0000101829-04-000209 · har315.xml · nonDerivative · entry 10

HARKIN RUTH R · CIK 0001184189 · SVP Intl Affairs & Gov't Rltns

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,438

SEC source: 0000101829-04-000209 · har315.xml · nonDerivative · entry 9

HARKIN RUTH R · CIK 0001184189 · SVP Intl Affairs & Gov't Rltns

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,038

SEC source: 0000101829-04-000209 · har315.xml · nonDerivative · entry 8

HARKIN RUTH R · CIK 0001184189 · SVP Intl Affairs & Gov't Rltns

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,338

SEC source: 0000101829-04-000209 · har315.xml · nonDerivative · entry 7

HARKIN RUTH R · CIK 0001184189 · SVP Intl Affairs & Gov't Rltns

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,338

SEC source: 0000101829-04-000209 · har315.xml · nonDerivative · entry 6

HARKIN RUTH R · CIK 0001184189 · SVP Intl Affairs & Gov't Rltns

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,338

SEC source: 0000101829-04-000209 · har315.xml · nonDerivative · entry 5

HARKIN RUTH R · CIK 0001184189 · SVP Intl Affairs & Gov't Rltns

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,538

SEC source: 0000101829-04-000209 · har315.xml · nonDerivative · entry 4

HARKIN RUTH R · CIK 0001184189 · SVP Intl Affairs & Gov't Rltns

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,838

SEC source: 0000101829-04-000209 · har315.xml · nonDerivative · entry 3

HARKIN RUTH R · CIK 0001184189 · SVP Intl Affairs & Gov't Rltns

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,838

SEC source: 0000101829-04-000209 · har315.xml · derivative · entry 13

HARKIN RUTH R · CIK 0001184189 · SVP Intl Affairs & Gov't Rltns

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2007-03-16

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: 0000101829-04-000209 · har315.xml · nonDerivative · entry 2

HARKIN RUTH R · CIK 0001184189 · SVP Intl Affairs & Gov't Rltns

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,538

SEC source: 0000101829-04-000209 · har315.xml · nonDerivative · entry 1

HARKIN RUTH R · CIK 0001184189 · SVP Intl Affairs & Gov't Rltns

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,000

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: 0001234266-04-000162 · edgar.xml · derivative · entry 2

HARKIN RUTH R · CIK 0001184189 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 934

Underlying: Common Stock · 814 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.

F1 · derivative.exercise_price: The stock units convert to ConocoPhillips common stock on a 1-for-1 basis.

F2 · derivative.exercise_date: The stock units become payable, at the election of the director, (i) the date the director ceases to serve on the Board of Directors (subject to a minimum of three years from the grant date prior to payment), (ii) the date which is five years after the date the director ceases to serve on the Board of Directors or (iii) the date three years after the applicable grant date. This transaction represents the settlement of the stock units in ConocoPhillips common stock on the date three years after the applicable grant date pursuant to the election of the director.

F2 · derivative.expiration_date: The stock units become payable, at the election of the director, (i) the date the director ceases to serve on the Board of Directors (subject to a minimum of three years from the grant date prior to payment), (ii) the date which is five years after the date the director ceases to serve on the Board of Directors or (iii) the date three years after the applicable grant date. This transaction represents the settlement of the stock units in ConocoPhillips common stock on the date three years after the applicable grant date pursuant to the election of the director.

SEC source: 0001234266-04-000162 · edgar.xml · nonDerivative · entry 1

HARKIN RUTH R · CIK 0001184189 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,038

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: 0001234266-04-000024 · edgar.xml · derivative · entry 1

HARKIN RUTH R · CIK 0001184189 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,317

Underlying: Common Stock · 1,375 shares

Expires not disclosed

F1 · derivative.exercise_price: 1-for-1

F2 · derivative.exercise_date: The stock units become payable, at the election of the director (i) the date the director ceases to serve on the Board of Directors (subject to a minimum of three years from the grant date prior to payment) or (ii) the date which is three years after the applicable grant date.

F2 · derivative.expiration_date: The stock units become payable, at the election of the director (i) the date the director ceases to serve on the Board of Directors (subject to a minimum of three years from the grant date prior to payment) or (ii) the date which is three years after the applicable grant date.

SEC source: 0000101829-04-000065 · har226.xml · derivative · entry 1

HARKIN RUTH R · CIK 0001184189 · SVP Intl Affairs & Gov't Rltns

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,000

Underlying: Common Stock · 18,000 shares

Expires 2014-01-08

SEC source: 0000101829-04-000002 · har198.xml · derivative · entry 1

HARKIN RUTH R · CIK 0001184189 · SVP Intl Affairs & Gov't Rltns

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,289.8463

Underlying: Common Stock · 7.0346 shares

Expires not disclosed

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. 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. Units are payable in cash following termination of employment, retirement or death.

SEC source: 0000101829-03-000386 · har191.xml · derivative · entry 1

HARKIN RUTH R · CIK 0001184189 · SVP Intl Affairs & Gov't Rltns

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,282.8117

Underlying: Common Stock · 7.282 shares

Expires not disclosed

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. 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. Units are payable in cash following termination of employment, retirement or death.

SEC source: 0000101829-03-000371 · har185.xml · derivative · entry 1

HARKIN RUTH R · CIK 0001184189 · SVP Intl Affairs & Gov't Rltns

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,254.725

Underlying: Common Stock · 7.7231 shares

Expires not disclosed

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. 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. Units are payable in cash following termination of employment, retirement or death.

SEC source: 0000101829-03-000367 · har184.xml · derivative · entry 1

HARKIN RUTH R · CIK 0001184189 · SVP Intl Affairs & Gov't Rltns

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,247.0019

Underlying: Common Stock · 7.761 shares

Expires not disclosed

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. 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. Units are payable in cash following termination of employment, retirement or death.

SEC source: 0000101829-03-000345 · har168.xml · derivative · entry 3

HARKIN RUTH R · CIK 0001184189 · SVP Intl Affairs & Gov't Rltns

10b5-1 filing: Not disclosed

Ownership: Indirect · By Savings Plan Trustee

Disclosed balance after: 0

Underlying: Common Stock · 621.832 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.

F1 · security: Each share of ESOP Series A Convertible Preferred Stock is convertible into four shares of UTC Common Stock. All shares of ESOP Series A Convertible Preferred Stock are held by the Trustee for the UTC Savings Plan for the benefit of employees participating in the Savings Plan. On November 6, 2003 the Trustee exercised its right to convert all shares of ESOP Series A Convertible Preferred Stock into UTC Common Stock.

F1 · kind: Each share of ESOP Series A Convertible Preferred Stock is convertible into four shares of UTC Common Stock. All shares of ESOP Series A Convertible Preferred Stock are held by the Trustee for the UTC Savings Plan for the benefit of employees participating in the Savings Plan. On November 6, 2003 the Trustee exercised its right to convert all shares of ESOP Series A Convertible Preferred Stock into UTC Common Stock.

F1 · derivative.expiration_date: Each share of ESOP Series A Convertible Preferred Stock is convertible into four shares of UTC Common Stock. All shares of ESOP Series A Convertible Preferred Stock are held by the Trustee for the UTC Savings Plan for the benefit of employees participating in the Savings Plan. On November 6, 2003 the Trustee exercised its right to convert all shares of ESOP Series A Convertible Preferred Stock into UTC Common Stock.

SEC source: 0000101829-03-000345 · har168.xml · nonDerivative · entry 1

HARKIN RUTH R · CIK 0001184189 · SVP Intl Affairs & Gov't Rltns

10b5-1 filing: Not disclosed

Ownership: Indirect · By Savings Plan Trustee

Disclosed balance after: 621.832

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: 0000101829-03-000320 · har152.xml · derivative · entry 1

HARKIN RUTH R · CIK 0001184189 · SVP Intl Affairs & Gov't Rltns

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,239.2409

Underlying: Common Stock · 7.8718 shares

Expires not disclosed

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. 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. Units are payable in cash following termination of employment, retirement or death.

SEC source: 0000101829-03-000311 · har150.xml · derivative · entry 1

HARKIN RUTH R · CIK 0001184189 · SVP Intl Affairs & Gov't Rltns

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,231.3691

Underlying: Common Stock · 7.9649 shares

Expires not disclosed

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. 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. Units are payable in cash following termination of employment, retirement or death.

SEC source: 0000101829-03-000302 · har148.xml · derivative · entry 1

HARKIN RUTH R · CIK 0001184189 · SVP Intl Affairs & Gov't Rltns

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,223.4042

Underlying: Common Stock · 8.62 shares

Expires not disclosed

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. 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. Units are payable in cash following termination of employment, retirement or death.

SEC source: 0000101829-03-000300 · har147.xml · derivative · entry 1

HARKIN RUTH R · CIK 0001184189 · SVP Intl Affairs & Gov't Rltns

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,214.7842

Underlying: Common Stock · 8.525 shares

Expires not disclosed

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. 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. Units are payable in cash following termination of employment, retirement or death.

SEC source: 0000101829-03-000285 · har142.xml · derivative · entry 1

HARKIN RUTH R · CIK 0001184189 · SVP Intl Affairs & Gov't Rltns

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,188.287

Underlying: Common Stock · 8.3073 shares

Expires not disclosed

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. 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. Units are payable in cash following termination of employment, retirement or death.

SEC source: 0000101829-03-000270 · har130.xml · derivative · entry 1

HARKIN RUTH R · CIK 0001184189 · SVP Intl Affairs & Gov't Rltns

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,179.9797

Underlying: Common Stock · 8.7168 shares

Expires 1988-08-08

F1 · shares: 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.

F2 · derivative.exercise_date: Placeholder date entered in accordance with 5/7/03 SEC Staff instructions for electronic filers. Under the Plan, executives may elect to receive the value in a lump sum or in installments following retirement or on specified dates after a five year deferral period.

F2 · derivative.expiration_date: Placeholder date entered in accordance with 5/7/03 SEC Staff instructions for electronic filers. Under the Plan, executives may elect to receive the value in a lump sum or in installments following retirement or on specified dates after a five year deferral period.

SEC source: 0000101829-03-000263 · har126.xml · derivative · entry 1

HARKIN RUTH R · CIK 0001184189 · SVP Intl Affairs & Gov't Rltns

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,171.2629

Underlying: Common Stock · 8.8616 shares

Expires 1988-08-08

F1 · shares: 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.

F2 · derivative.exercise_date: Placeholder date entered in accordance with 5/7/03 SEC Staff instructions for electronic filers. Under the Plan, executives may elect to receive the value in a lump sum or in installments following retirement or on specified dates after a five year deferral period.

F2 · derivative.expiration_date: Placeholder date entered in accordance with 5/7/03 SEC Staff instructions for electronic filers. Under the Plan, executives may elect to receive the value in a lump sum or in installments following retirement or on specified dates after a five year deferral period.

SEC source: 0000101829-03-000245 · har120.xml · derivative · entry 1

HARKIN RUTH R · CIK 0001184189 · SVP Intl Affairs & Gov't Rltns

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,162.4013

Underlying: Common Stock · 9.269 shares

Expires 1988-08-08

F1 · shares: 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.

F2 · derivative.exercise_date: Placeholder date entered in accordance with 5/7/03 SEC Staff instructions for electronic filers. Under the Plan, executives may elect to receive the value in a lump sum or in installments following retirement or on specified dates after a five year deferral period.

F2 · derivative.expiration_date: Placeholder date entered in accordance with 5/7/03 SEC Staff instructions for electronic filers. Under the Plan, executives may elect to receive the value in a lump sum or in installments following retirement or on specified dates after a five year deferral period.

SEC source: 0000101829-03-000225 · har116.xml · derivative · entry 1

HARKIN RUTH R · CIK 0001184189 · SVP Intl Affairs & Gov't Rltns

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,153.13

Underlying: Common Stock · 9.41 shares

Expires 1988-08-08

F1 · shares: 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.

F2 · derivative.exercise_date: Placeholder date entered in accordance with 5/7/03 SEC Staff instructions for electronic filers. Under the Plan, executives may elect to receive the value in a lump sum or in installments following retirement or on specified dates after a five year deferral period.

F2 · derivative.expiration_date: Placeholder date entered in accordance with 5/7/03 SEC Staff instructions for electronic filers. Under the Plan, executives may elect to receive the value in a lump sum or in installments following retirement or on specified dates after a five year deferral period.

SEC source: 0000101829-03-000205 · har109.xml · derivative · entry 1

HARKIN RUTH R · CIK 0001184189 · SVP Intl Affairs & Gov't Rltns

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,143.7223

Underlying: Common Stock · 9.245 shares

Expires 1988-08-08

F1 · shares: 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.

F2 · derivative.exercise_date: Placeholder date entered in accordance with 5/7/03 SEC Staff instructions for electronic filers. Under the Plan, executives may elect to receive the value in a lump sum or in installments following retirement or on specified dates after a five year deferral period.

F2 · derivative.expiration_date: Placeholder date entered in accordance with 5/7/03 SEC Staff instructions for electronic filers. Under the Plan, executives may elect to receive the value in a lump sum or in installments following retirement or on specified dates after a five year deferral period.

SEC source: 0001234250-03-000019 · edgar.xml · derivative · entry 2

HARKIN RUTH R · CIK 0001184189 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 793

Underlying: Common Stock · 363 shares

Expires 1988-08-08

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

F2 · derivative.exercise_price: The stock units convert to ConocoPhillips common stock on a 1-for-1 basis.

F3 · derivative.exercise_date: The stock units become payable, at the election of the director (i) the date the director ceases to serve on the Board of Directors (subject to a minimum of three years from the grant date prior to payment), (ii) the date which is five years after the date the director ceases to serve on the Board of Directors or (iii) the date three years after the applicable grant date.

F3 · derivative.expiration_date: The stock units become payable, at the election of the director (i) the date the director ceases to serve on the Board of Directors (subject to a minimum of three years from the grant date prior to payment), (ii) the date which is five years after the date the director ceases to serve on the Board of Directors or (iii) the date three years after the applicable grant date.

SEC source: 0001234250-03-000019 · edgar.xml · nonDerivative · entry 1

HARKIN RUTH R · CIK 0001184189 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,224

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 · balance_after: The reporting person also indirectly owns 23 shares of ConocoPhillips common stock held by her daughter.

SEC source: 0000101829-03-000201 · har106.xml · derivative · entry 1

HARKIN RUTH R · CIK 0001184189 · SVP Intl Affairs & Gov't Rltns

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,114.981

Underlying: Common Stock · 9.768 shares

Expires 1988-08-08

F1 · shares: 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.

F2 · derivative.exercise_date: Placeholder date entered in accordance with 5/7/03 SEC Staff instructions for electronic filers. Under the Plan, executives may elect to receive the value in a lump sum or in installments following retirement or on specified dates after a five year deferral period.

F2 · derivative.expiration_date: Placeholder date entered in accordance with 5/7/03 SEC Staff instructions for electronic filers. Under the Plan, executives may elect to receive the value in a lump sum or in installments following retirement or on specified dates after a five year deferral period.

SEC source: 0001181431-03-008179 · rrd9172.xml · derivative · entry 1

HARKIN RUTH R · CIK 0001184189 · SVP, Intl. Affairs & Govt.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,105.213

Underlying: Common Stock · 9.838 shares

Expires 1988-08-08

F1 · shares: 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 16-3.

F2 · derivative.exercise_date: Placeholder date entered in accordance with 5/7/03 SEC Staff instructions for electronic filers. Under the Plan, executives may elect to receive the value in a lump sum or in installments following retirement or on specified dates after a five year deferral period.

F2 · derivative.expiration_date: Placeholder date entered in accordance with 5/7/03 SEC Staff instructions for electronic filers. Under the Plan, executives may elect to receive the value in a lump sum or in installments following retirement or on specified dates after a five year deferral period.