Amended Statement of Beneficial Ownership (3/a)
01 Avril 2020 - 10:31PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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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1. Name and Address of Reporting Person
*
Timm Stephen J. |
2. Date of Event Requiring Statement (MM/DD/YYYY)
2/7/2020
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3. Issuer Name and Ticker or Trading Symbol
UNITED TECHNOLOGIES CORP /DE/ [UTX]
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(Last)
(First)
(Middle)
10 FARM SPRINGS ROAD |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) President, Collins Aerospace / |
(Street)
FARMINGTON, CT 06032
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY) 2/14/2020
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Restricted Stock Units RSU | 2/4/2023 | (1) | Common Stock | 9000.0000 (2) | (1) | D | |
Stock Appreciation Right | 2/4/2023 | 2/3/2030 | Common Stock | 50000.0000 (2) | $153.0000 | D | |
Explanation of Responses: |
(1) | Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of UTC Common Stock. |
(2) | The Form 3 that was initially filed for the reporting person has been amended to add these RSUs and Stock Appreciation rights, which were inadvertently omitted from that filing and which were awarded on February 4, 2020. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Timm Stephen J. 10 FARM SPRINGS ROAD FARMINGTON, CT 06032 |
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| President, Collins Aerospace |
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Signatures
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/s/ Edward G. Perrault as Attorney-in-Fact | | 4/1/2020 |
**Signature of Reporting Person | Date |
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