SEC FORM
3
SEC Form 3
FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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OMB APPROVAL |
OMB Number: |
3235-0104 |
Estimated average burden |
hours per response: |
0.5 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 02/07/2020
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3. Issuer Name and Ticker or Trading Symbol
UNITED TECHNOLOGIES CORP /DE/
[ UTX ]
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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Director |
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10% Owner |
X |
Officer (give title below) |
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Other (specify below) |
President, Collins Aerospace |
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5. If Amendment, Date of Original Filed
(Month/Day/Year)
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6. Individual or Joint/Group Filing (Check Applicable Line)
X |
Form filed by One Reporting Person |
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Form filed by More than One Reporting Person |
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Table I - Non-Derivative Securities Beneficially Owned |
1. Title of Security (Instr.
4)
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2.
Amount of Securities Beneficially Owned (Instr.
4)
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3. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
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4. Nature of Indirect Beneficial Ownership (Instr.
5)
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Common Stock |
1,482 |
D |
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Common Stock |
304 |
I |
By Savings Plan Trustee |
Common Stock |
371 |
I |
By Spouse's Savings Plan Account |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivative Security (Instr.
4)
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2. Date Exercisable and Expiration Date
(Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr.
4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
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6. Nature of Indirect Beneficial Ownership (Instr.
5)
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Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Restricted Stock Units RSU |
02/05/2022 |
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Common Stock |
1,463 |
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D |
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Restricted Stock Units RSU |
10/02/2020 |
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Common Stock |
1,247 |
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D |
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Restricted Stock Units RSU |
11/13/2020 |
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Common Stock |
416 |
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D |
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Rockwell NQSP |
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Common Stock |
70.988 |
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D |
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Stock Appreciation Right |
02/05/2022 |
02/04/2029 |
Common Stock |
4,400
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120.77 |
D |
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Stock Appreciation Right |
07/02/2022 |
07/01/2029 |
Common Stock |
12,600 |
131.96 |
D |
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Explanation of Responses: |
Remarks: |
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/s/ Ariel R. David as Attorney-in-Fact |
02/14/2020 |
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** Signature of Reporting Person |
Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* If the form is filed by more than one reporting person,
see
Instruction
5
(b)(v). |
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |
POWER OF ATTORNEY
Know all by these presents that the undersigned hereby constitutes and appoints
each of Charles D. Gill, Peter J. Graber-Lipperman Edward G. Perrault and Ariel
R. David, signing individually, as the undersigned's true and lawful
attorney-in-fact to:
(1) execute, for and on behalf of the undersigned, Forms 3, 4, and 5 (and any
replacement form or successor to such forms, as may be established by the U.S.
Securities and Exchange Commission from time to time) in accordance with Section
16(a) of the Securities Exchange Act of 1934, as amended from time to time and
the rules thereunder;
(2) execute, for and on behalf of the undersigned, any Form 144 (and any
replacement form or successor to such form, as may be established by the U.S.
Securities and Exchange Commission from time to time) required to be filed on
behalf of the undersigned in accordance with Rule 144 of the U.S. Securities and
Exchange Commission, as amended from time to time;
(3) do and perform any and all acts for and on behalf of the undersigned which
may be necessary or desirable to complete and execute any of the documents
referred to in items (1) and (2) above and timely file the same with the U.S.
Securities and Exchange Commission and any stock exchange or similar authority;
and
(4) take any action of any type whatsoever in connection with the foregoing
(including but not limited to the execution of any written representations
required on behalf of the undersigned to confirm compliance with Rule 144)
which, in the opinion of such attorney-in-fact, may be of benefit to, in the
best interest of, or legally required by, the undersigned, it being understood
that the documents executed by such attorney-in-fact on behalf of the
undersigned pursuant to this Power of Attorney shall be in such form and shall
contain such terms and conditions as such attorney-in-fact may approve in such
attorney-in-fact's discretion.
The undersigned hereby grants to each such attorney-in-fact full power and
authority to do and perform any and every act and thing whatsoever requisite,
necessary, or proper to be done in the exercise of any of the rights and powers
herein granted, as fully to all intents and purposes as the undersigned might or
could do if personally present, with full power of substitution or revocation,
hereby ratifying and confirming all that such attorney-in-fact, or such
attorney-in-fact's substitute or substitutes, shall lawfully do or cause to be
done by virtue of this power of attorney and the rights and powers herein
granted. The undersigned acknowledges that the foregoing attorneys-in-fact, in
serving in such capacity at the request of the undersigned, are not assuming,
nor is United Technologies Corporation (the "Company") assuming, any of the
undersigned's responsibilities to comply with Section 16 of the Securities
Exchange Act of 1934, Rule 144 of the U.S. Securities and Exchange Commission or
any other provision of the securities laws.
This Power of Attorney shall remain in full force and effect until the
undersigned is no longer required to file any of the documents referred to above
with respect to the undersigned's holdings of and transactions in securities
issued by the Company, unless earlier revoked by the undersigned in a signed
writing delivered to the foregoing attorneys-in-fact.
IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be
executed as of this 11th day of February 2020
/s/Stephen J. Timm
Stephen J. Timm