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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Common Stock (6) | (7) | 07/26/2012 | D | 10,618.4225 | (6) | (6) | Common Stock | 10,618.4225 | $ 127.5 | 0 | D | ||||
Employee Stock Option (Right to Buy) | $ 88.635 | 07/26/2012 | D | 22,000 | (3) | 01/03/2021 | Common Stock | 22,000 | (4) | 0 | D | ||||
Employee Stock Option (Right to Buy) | $ 65.315 | 07/26/2012 | D | 22,000 | (3) | 01/04/2020 | Common Stock | 22,000 | (4) | 0 | D | ||||
Employee Stock Option (Right to Buy) | $ 38.37 | 07/26/2012 | D | 28,000 | (3) | 01/02/2019 | Common Stock | 28,000 | (4) | 0 | D | ||||
Employee Stock Option (Right to Buy) | $ 69.865 | 07/26/2012 | D | 28,000 | (3) | 01/02/2018 | Common Stock | 28,000 | (4) | 0 | D | ||||
Employee Stock Option (Right to Buy) | $ 45.87 | 07/26/2012 | D | 16,500 | (3) | 01/03/2017 | Common Stock | 16,500 | (4) | 0 | D | ||||
Employee Stock Option (Right to Buy) | $ 45.87 | 07/26/2012 | D | 35,000 | (3) | 01/03/2014 | Common Stock | 35,000 | (4) | 0 | D | ||||
Employee Stock Option (Right to Buy) | $ 18.76 | 07/26/2012 | D | 1 | (3) | 01/02/2013 | Common Stock | 1 | (4) | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
EGNOTOVICH CYNTHIA M C/O GOODRICH CORPORATION 2730 WEST TYVOLA ROAD CHARLOTTE, NC 28217 |
VP & Segment President - |
Joan M. Taffi, By Power of Attorney | 07/30/2012 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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). |
(1) | Each share of common stock or phantom stock was disposed of in exchange for a cash payment of $127.50 per share pursuant to the Agreement and Plan of Merger by and among United Technologies Corporation, Charlotte Lucas Corporation and Goodrich Corporation dated as of September 21, 2011. |
(2) | Includes 34 shares acquired since the date of the last statement pursusant to the Employee Stock Purchase Plan. |
(3) | The stock option vests in equal annual installments on each of the first three anniversaries of the grant date. |
(4) | This option was canceled in the merger in exchange for a cash payment equal to the difference between $127.50 and the exercise price per share set forth in Column 2. |
(5) | Restricted Stock Units that vested on the effective date of the merger and were disposed of in exchange for a cash payment equal to $127.50 per share. |
(6) | These shares were deferred under the Goodrich Corporation Performance Share Deferred Compensation Plan, were to be settled in stock upon the reporting person's retirement at various times based upon elections made by the reporting person and were disposed of in exchange for a cash payment equal to $127.50 per share. |
(7) | Each deferred share has the economic equivalent of one share of common stock. |