8-K

 

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

FORM 8-K
Current Report Pursuant to Section 13 or 15(d) of
The Securities Exchange Act of 1934

Date of Report (Date of earliest event reported): August 1, 2002

UNITED TECHNOLOGIES CORPORATION
(exact name of registrant as specified in its charter)

Delaware
(State of other jurisdiction of incorporation or organization) 1-812
(Commission File Number) 06-0570975
(I.R.S. Employer Identification No.)

United Technologies Building, One Financial Plaza
Hartford, Connecticut 06103
(Address of Principal executive offices, including Zip Code)

Registrant’s telephone number, including area code
(860) 728-7000

N/A
(Former name or former address, if changed since last report)

Item 9. Other Events

On August 1, 2002, George David, Chairman and Chief Executive Officer of United Technologies Corporation (the "Corporation"), and David J. FitzPatrick, Senior Vice President, Chief Financial Officer of the Corporation, each filed with Securities and Exchange Commission (the "SEC") a statement under oath regarding facts and circumstances relating to the Securities Exchange Act filings, as required by the SEC’s Order Requiring the Filing of Sworn Statements Pursuant to Section 21(a)(1) of the Securities Exchange Act of 1934 (File No. 4-460, June 27, 2002).

Item 7. Exhibits

The following are annexed as Exhibits:

Exhibit Number	Description
99(i)	Statement Under Oath of George David, Chairman and Chief Executive Officer of United Technologies Corporation, Regarding Facts and Circumstances Relating to Exchange Act Filings
99(ii)	Statement Under Oath of David J. FitzPatrick, Senior Vice President, Chief Financial Officer of United Technologies Corporation, Regarding Facts and Circumstances Relating to Exchange Act Filings

SIGNATURE

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this Report to be signed on its behalf by the undersigned hereunto duly authorized.

Date: August 1, 2002 UNITED TECHNOLOGIES CORPORATION
(Registrant)   By: /s/ William H. Trachsel                         
William H. Trachsel
Senior Vice President, General Counsel
and Secretary

INDEX TO EXHIBITS

Exhibit Number	Exhibit Description
99(i)	Statement Under Oath of George David, Chairman and Chief Executive Officer of United Technologies Corporation, Regarding Facts and Circumstances Relating to Exchange Act Filings
99(ii)	Statement Under Oath of David J. FitzPatrick, Senior Vice President, Chief Financial Officer of United Technologies Corporation, Regarding Facts and Circumstances Relating to Exchange Act Filings

EX-99

Exhibit 99(i)

STATEMENT UNDER OATH OF PRINCIPAL EXECUTIVE OFFICER REGARDING FACTS AND CIRCUMSTANCES RELATING TO EXCHANGE ACT FILINGS

I, George David, Chairman and Chief Executive Officer of United Technologies Corporation, state and attest that:

(1) To the best of my knowledge, based upon a review of the covered reports of United Technologies Corporation, and, except as corrected or supplemented in a subsequent covered report:

no covered report contained an untrue statement of a material fact as of the end of the period covered by such report (or in the case of a report on Form 8-K or definitive proxy materials, as of the date on which it was filed); and

no covered report omitted to state a material fact necessary to make the statements in the covered report, in light of the circumstances under which they were made, not misleading as of the end of the period covered by such report (or in the case of a report on Form 8-K or definitive proxy materials, as of the date on which it was filed).

(2) I have reviewed the contents of this statement with United Technologies Corporation’s Audit Committee.

(3) In this statement under oath, each of the following, if filed on or before the date of this statement, is a "covered report":

Annual Report on Form 10-K of United Technologies Corporation filed with the Commission for the year ended December 31, 2001;

all reports on Form 10-Q, all reports on Form 8-K and all definitive proxy materials of United Technologies Corporation filed with the Commission subsequent to the filing of the Form 10-K identified above; and

any amendments to any of the foregoing.

/s/ George David                                  
George David
August 1, 2002 Subscribed and sworn to before me this 1st day of August, 2002. /s/ Gigi M. Barnard                  Notary Public: Gigi M. Barnard
My Commission Expires: February 28, 2004

EX-99

Exhibit 99(ii)

STATEMENT UNDER OATH OF PRINCIPAL FINANCIAL OFFICER REGARDING FACTS AND CIRCUMSTANCES RELATING TO EXCHANGE ACT FILINGS

I, David J. FitzPatrick, Senior Vice President, Chief Financial Officer of United Technologies Corporation, state and attest that:

(1) To the best of my knowledge, based upon a review of the covered reports of United Technologies Corporation, and, except as corrected or supplemented in a subsequent covered report:

no covered report contained an untrue statement of a material fact as of the end of the period covered by such report (or in the case of a report on Form 8-K or definitive proxy materials, as of the date on which it was filed); and

no covered report omitted to state a material fact necessary to make the statements in the covered report, in light of the circumstances under which they were made, not misleading as of the end of the period covered by such report (or in the case of a report on Form 8-K or definitive proxy materials, as of the date on which it was filed).

(2) I have reviewed the contents of this statement with United Technologies Corporation’s Audit Committee.

(3) In this statement under oath, each of the following, if filed on or before the date of this statement, is a "covered report":

Annual Report on Form 10-K of United Technologies Corporation filed with the Commission for the year ended December 31, 2001;

all reports on Form 10-Q, all reports on Form 8-K and all definitive proxy materials of United Technologies Corporation filed with the Commission subsequent to the filing of the Form 10-K identified above; and

any amendments to any of the foregoing.

  /s/ David J. FitzPatrick                              
David J. FitzPatrick
August 1, 2002 Subscribed and sworn to before me this 1st day of August, 2002. /s/ Dolores B. Plourde                   Notary Public: Dolores B. Plourde
My Commission Expires: January 31, 2004