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Share Name | Share Symbol | Market | Type |
---|---|---|---|
United Technologies Corporation | NYSE:UTX | NYSE | Common Stock |
Price Change | % Change | Share Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 86.01 | 0 | 01:00:00 |
Delaware
|
06-0570975
|
(State or other jurisdiction of
|
(I.R.S. Employer
|
incorporation or organization)
|
Identification No.)
|
Large accelerated filer ☒
|
|
Accelerated filer ☐
|
Non-accelerated filer ☐
|
Smaller reporting company ☐
|
|
|
|
Emerging growth company ☐
|
Title of Securities
to be Registered
|
Amount to be
Registered(1)
|
Proposed
Maximum
Offering
Price Per Share(2)
|
Proposed
Maximum
Aggregate
Offering Price(2)
|
Amount of
Registration
Fee
|
Common Stock, par value $1.00 per share
|
1,000,000
|
$135.12
|
$135,115,500
|
$16,376.00
|
ITEM 3.
|
INCORPORATION OF DOCUMENTS BY REFERENCE
|
|
(1)
|
the Company’s Annual Report on Form 10-K for the year ended December 31, 2018, filed with the Commission on February 7, 2019, as amended by Amendment No. 1 on Form 10-K/A for the year ended December 31, 2018, filed with the Commission on April 5, 2019;
|
|
(2)
|
the Company’s Quarterly Reports on Form 10-Q for the quarters ended March 31, 2019 and June 30, 2019, filed with the Commission on April 26, 2019 and July 26, 2019,
respectively;
|
|
(3)
|
the Company’s Current Reports on Form 8-K filed with the Commission on May 2, 2019, June 3,
2019, June 10, 2019, June 12, 2019,
June 25, 2019, September 5, 2019
(Item 8.01 only) and September 27, 2019;
|
|
(4)
|
the Company’s Annual Report on Form 11-K for the year ended December 31, 2018, filed with the Commission on June 26, 2019; and
|
|
(5)
|
the description of the Company’s capital stock contained in the Company’s Registration Statement on Form S-3ASR filed with the Commission on September 27, 2019 or any
registration statement or report subsequently filed for the purpose of updating that description.
|
ITEM 4.
|
DESCRIPTION OF SECURITIES
|
ITEM 5.
|
INTERESTS OF NAMED EXPERTS AND COUNSEL
|
ITEM 6.
|
INDEMNIFICATION OF DIRECTORS AND OFFICERS
|
ITEM 7.
|
EXEMPTION FROM REGISTRATION CLAIMED
|
ITEM 8.
|
EXHIBITS
|
Exhibit Number
|
Exhibit Title
|
|
Restated Certificate of Incorporation, restated as of April 25, 2016 (incorporated by reference to Exhibit 3.1 to the Company’s Current Report on Form 8-K filed with
the Commission on April 25, 2016).
|
||
Bylaws, as amended and restated effective October 20, 2018 (incorporated by reference to Exhibit 3.2 to the Company’s Current Report on Form 8-K filed with the
Commission on October 10, 2018).
|
||
Awareness Letter of PricewaterhouseCoopers LLP (independent registered public accounting firm).*
|
||
Consent of PricewaterhouseCoopers LLP (independent registered public accounting firm).*
|
||
Powers of Attorney.*
|
ITEM 9.
|
UNDERTAKINGS
|
|
UNITED TECHNOLOGIES CORPORATION | |
|
|
|
|
By
|
/s/ Akhil Johri |
|
|
Akhil Johri |
|
|
Senior Vice President & Chief Financial Officer
|
Signature
|
Title
|
|
*
|
Director, Chairman, President and Chief
Executive Officer (principal executive officer)
|
|
Gregory J. Hayes
|
||
/s/ AKHIL JOHRI
|
Executive Vice President & Chief Financial
Officer (principal financial officer)
|
|
Akhil Johri
|
||
/s/ ROBERT J. BAILEY
|
Corporate Vice President, Controller (principal
accounting officer)
|
|
Robert J. Bailey
|
||
*
|
Director
|
|
Lloyd J. Austin III
|
||
*
|
Director
|
|
Diane M. Bryant
|
||
*
|
Director
|
|
John V. Faraci
|
||
*
|
Director
|
|
Jean-Pierre Garnier
|
||
*
|
Director
|
|
Christopher J. Kearney
|
||
*
|
Director
|
|
Ellen J. Kullman
|
||
*
|
Director
|
|
Marshall O. Larsen
|
||
*
|
Director
|
|
Harold W. McGraw III
|
||
*
|
Director
|
|
Margaret L. O’Sullivan
|
||
*
|
Director
|
|
Denise L. Ramos
|
||
*
|
Director
|
|
Fredric G. Reynolds
|
||
*
|
Director
|
|
Brian C. Rogers
|
* |
Charles D. Gill, by signing his name hereto, does hereby sign this Registration Statement on behalf of the directors of the registrant above whose name asterisks appear, pursuant to
powers of attorney duly executed by such directors and filed with the SEC.
|
By: |
/s/ CHARLES D. GILL
|
|
Charles D. Gill
Executive Vice President & General Counsel, as Attorney-in-Fact |
|
UTC Puerto Rico Savings Plan
|
|
|
|
|
|
By
|
/s/ Peter Holowesko |
|
|
Peter Holowesko |
|
|
Vice President, Global Benefits, Human Resources Planning
|
1 Year United Technologies Chart |
1 Month United Technologies Chart |
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