-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, FndVkWk6jDpsjCXJ8h05l/q9XC9n2Uffv1uS6OC3kj50YLTxuwcIPOA1tAMxZyuf /01vZxVhB8+7ERTJkNdJxw== 0000101829-03-000171.txt : 20030407 0000101829-03-000171.hdr.sgml : 20030407 20030407172651 ACCESSION NUMBER: 0000101829-03-000171 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030401 FILED AS OF DATE: 20030407 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: UNITED TECHNOLOGIES CORP /DE/ CENTRAL INDEX KEY: 0000101829 STANDARD INDUSTRIAL CLASSIFICATION: AIRCRAFT ENGINES & ENGINE PARTS [3724] IRS NUMBER: 060570975 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00812 FILM NUMBER: 03641960 BUSINESS ADDRESS: STREET 1: UNITED TECHNOLOGIES BLDG STREET 2: ONE FINANCIAL PLZ CITY: HARTFORD STATE: CT ZIP: 06101 BUSINESS PHONE: 2037287000 FORMER COMPANY: FORMER CONFORMED NAME: UNITED TECHNOLOGIES CORP DATE OF NAME CHANGE: 19841205 FORMER COMPANY: FORMER CONFORMED NAME: UNITED TECHNOLOGIES MICROELECTRONICS CENTER DATE OF NAME CHANGE: 19850825 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: HAYES GREGORY CENTRAL INDEX KEY: 0001225946 RELATIONSHIP: OFFICER FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: UNITED TECHNOLOGIES CORP STREET 2: ONE FINANCIAL PLAZA CITY: HARTFORD STATE: CT ZIP: 06101 BUSINESS PHONE: 8607287836 3 1 ghayes040103.htm SEC Form 3
FORM 3
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C.  20549

INITIAL STATEMENT OF 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(f) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person*
Hayes, Gregory      

(Last)                     (First)                     (Middle)
United Technologies Corporation
One Financial Plaza

(Street)
Hartford, CT     06101

(City)                     (State)                     (Zip)

2. Date of Event
    Requiring Statement
   (Month/Day/Year)
April 01, 2003

3. I.R.S. Identification
    Number of Reporting
    Person, if an entity
    (voluntary)
4. Issuer Name and Ticker or Trading Symbol
United Technologies Corporation   UTX

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

                        Director                           10% Owner
           X          Officer                             Other

Officer/Other
Description           Vice President, Controller
6. If Amendment, Date of
  Original (Month/Day/Year)

7. Individual or Joint/Group
  Filing (Check Applicable Line)

X   Individual Filing
      Joint/Group Filing
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security
   (Instr. 4)

2. Amount of Securities Beneficially Owned
    (Instr. 4)

3. Ownership Form :
    (D) Direct
    (I) Indirect     (Instr. 5)
4. Nature of Beneficial Ownership
    (Instr. 5)
Common Stock 269.979 I By Savings Plan Trustee




Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5(b)(v).

(over)
SEC 1473 (3-99)

Hayes, Gregory - April 2003
Form 3 (continued)
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
    (Instr. 4)
2. Date Exercisable(DE) and Expiration Date(ED)




  (DE)     |     (ED)  
3. Title and Amount of of Underlying Security
    (Instr. 4)
4. Conversion or
    Exercise Price
5. Ownership
    Form
    (D) Direct
    or
    (I) Indirect
    (Instr. 5)
6. Nature of Indirect
    Beneficial Ownership
    (Instr. 5)
ESOP Series A Convertible Preferred Stock
Common Stock - 385.716 $0.0000 I By Savings Plan Trustee
Non-Qualified Stock Option (right to buy) 01/03/2003 | 01/02/2010 Common Stock - 5,300.000 $62.5000 D  
Non-Qualified Stock Option (right to buy) 01/02/2004 | 01/01/2011 Common Stock - 5,900.000 $75.2500 D  
Non-Qualified Stock Option (right to buy) 01/02/2005 | 01/01/2012 Common Stock - 7,900.000 $64.3400 D  
Non-Qualified Stock Option (right to buy) 01/02/2006 | 01/01/2013 Common Stock - 10,000.000 $63.4100 D  

         
Explanation of Responses :


** Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
        See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note:   File three copies of this Form, one of which must be manually signed. If space is insufficient,
            See Instruction 6 for procedure.

Potential persons who are to respond to the collection of information contained in this form are not
required to respond unless the form displays a currently valid OMB number.
/s/ Gregory Hayes
________________________________        __________________
** Signature of Reporting Person                         Date



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