Marks Judith Fran 的 Form 4 申報

Otis Worldwide Corp（OTIS），2026/2/5 申報

申報編號: 0001781335-26-000030
申報時間: 2026/2/5
交易日: 2026/2/3-2/5
申報延遲: 2 天
10b5-1 計畫: 有勾選

SEC EDGAR 原文（在新分頁開啟）

這份申報列了 8 筆非衍生性交易、3 筆衍生性交易。公開市場賣出合計 $929.0 萬。交易後 2 天申報。

申報人

一份 Form 4 可以有好幾位申報人，例如本人與他控制的基金。各交易表上顯示的是第一位。

這份申報的申報人
申報人	與公司的關係
Marks Judith FranCIK 0001665490	董事、高階主管（董事長、執行長、總裁）

非衍生性證券（表 I）

普通股等股票的取得與處分，每一列是申報上的一筆。

非衍生性證券的交易
交易日	證券	交易	股數	價格	金額	交易後持股	持有方式
2026/2/3	Common Stock	A公司授予取得	+58,169	–^F5	–	279,781	直接
2026/2/3	Common Stock	F扣股繳稅處分	−12,073	$87.16	−$1,052,282.68	267,708	直接
2026/2/4	Common Stock	M行使選擇權取得	+18,425	–^F1	–	286,133	直接
2026/2/4	Common Stock	F扣股繳稅處分	−8,281	$90.37	−$748,353.97	277,852	直接
2026/2/4	Common Stock	S賣出處分	−46,780	$89.57^F6	−$4,190,084.6	231,072	直接
2026/2/4	Common Stock	M行使選擇權取得	+191,799	$63.92	+$12,259,792.08	422,871	直接
2026/2/4	Common Stock	D交回公司處分	−135,692	$90.35	−$12,259,772.2	287,179	直接
2026/2/5	Common Stock	S賣出處分	−56,107	$90.89^F7	−$5,099,565.23	231,072	直接

衍生性證券（表 II）

選擇權、認股權證、限制型股票單位等。股數是標的股票的股數；單價與金額是衍生證券本身的價格，交易後持有是衍生證券的單位數。

衍生性證券的交易
交易日	證券	交易	標的股數	單價	金額	交易後持有	持有方式
2026/2/3	Common Stock	A公司授予取得	+59,305	$0.00	$0	59,305	直接
2026/2/4	Common Stock	M行使選擇權處分	−18,425	$0.00	$0	36,862	直接
2026/2/4	Common Stock	M行使選擇權處分	−191,799	$0.00	$0	0	直接

附註與備註

本站收錄交易價格引用的附註、修正申報（Form 4/A）的全部附註，以及申報的備註。其他附註，例如間接持有的方式、交易計畫的細節，請看 SEC EDGAR 上的原文。

Restricted stock units (RSUs) convert into common stock on a one-for-one basis. RSUs include the right to receive dividend equivalents that are credited as additional RSUs.

表 I 有 1 筆交易的價格引用這則附註。

The acquisition of Otis common stock represents the vesting of performance share units (PSUs) previously awarded on February 7, 2023. Each PSU has a value equal to one share of Otis common stock. These PSUs vested on the Transaction Date upon the achievement of the 3-year cycle preestablished performance targets. The performance criteria were certified to be achieved at the 82% level. The reporting person previously elected to defer 50% of this award under the LTIP PSU Deferral Plan upon vesting. Any vested shares that are deferred under this plan are credited as DSUs and will be settled in stock. The DSUs will be paid out in an equal number of shares of Otis common stock in accordance with the reporting person's previous elections. DSUs accrue dividend equivalents.

表 I 有 1 筆交易的價格引用這則附註。

This transaction was effected pursuant to a Rule 10b5-1 plan adopted by the reporting person on August 25, 2025. The shares sold in multiple trades at prices ranging from $87.73 to $90.45. The price reported above reflects the weighted average sale price. The reporting person undertakes to provide the registrant, any security holder of the registrant, or the SEC staff, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. The number of shares sold includes the shares received by the reporting person upon the vesting of the PSUs previously awarded on February 7, 2023 after giving effect to the tax withholdings and the 50% PSU deferral election.

表 I 有 1 筆交易的價格引用這則附註。

This transaction was effected pursuant to a Rule 10b5-1 plan adopted by the reporting person on August 25, 2025. The shares sold in multiple trades at prices ranging from $89.755 to $91.495. The price reported above reflects the weighted average sale price. The reporting person undertakes to provide the registrant, any security holder of the registrant, or the SEC staff, upon request, full information regarding the number of shares sold at each separate price within the range set forth above.

表 I 有 1 筆交易的價格引用這則附註。

備註

Exhibit List: Exhibit 24 - Power of Attorney. This form includes transactions effected pursuant to a Rule 10b5-1 plan adopted by the reporting person on August 25, 2025. The plan will terminate on March 1, 2026.

看 SEC EDGAR 上的完整原文（在新分頁開啟）