-----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, RjHcPebRUTGl9El8GZ0JTIn0XTPtke1BpuHdt46p6WGLaV59ndxiMgFk3IGAZexv ii82OUlVZQvfpUvC0qmFsw== 0000101829-03-000232.txt : 20030709 0000101829-03-000232.hdr.sgml : 20030709 20030709145445 ACCESSION NUMBER: 0000101829-03-000232 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030701 FILED AS OF DATE: 20030709 ISSUER: 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 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 MICROELECTRONICS CENTER DATE OF NAME CHANGE: 19850825 FORMER COMPANY: FORMER CONFORMED NAME: UNITED TECHNOLOGIES CORP DATE OF NAME CHANGE: 19841205 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FINGER STEPHEN N CENTRAL INDEX KEY: 0001252946 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00812 FILM NUMBER: 03779971 BUSINESS ADDRESS: STREET 1: C/O UNITED TECHNOLOGIES CORP STREET 2: ONE FINANCIAL PLZ. CITY: HARTFORD STATE: CT ZIP: 06101 BUSINESS PHONE: 8607287836 MAIL ADDRESS: STREET 1: C/O UNITED TECHNOLOGIES CORP STREET 2: ONE FINANCIAL PLZ CITY: HARTFORD STATE: CT ZIP: 06101 3 1 fin114.xml X0101 3 2003-07-01 0 0000101829 UNITED TECHNOLOGIES CORP /DE/ UTX 0001252946 FINGER STEPHEN N 0 1 0 0 President, Sikorsky Aircraft Common Stock 116 D Common Stock 5224.464 I By Savings Plan Trustee Common Stock (Career Restricted) 2800 D ESOP Series A Convertible Preferred Stock 0.0000 1988-08-08 1988-08-08 Common Stock 4345.4440 I By ESOP Non-Qualified Stock Option (right to buy) 16.6563 1997-02-01 2004-01-31 Common Stock 5000.0000 D Non-Qualified Stock Option (right to buy) 16.2813 1998-02-06 2005-02-04 Common Stock 14000.0000 D Non-Qualified Stock Option (right to buy) 25.0000 1999-02-05 2006-02-03 Common Stock 14000.0000 D Non-Qualified Stock Option (right to buy) 34.5000 2000-02-03 2007-02-02 Common Stock 16000.0000 D Non-Qualified Stock Option (right to buy) 36.5625 2001-01-02 2008-01-01 Common Stock 20000.0000 D Non-Qualified Stock Option (right to buy) 54.0000 2002-01-04 2009-01-03 Common Stock 20000.0000 D Non-Qualified Stock Option (right to buy) 62.5000 2003-01-03 2010-01-02 Common Stock 21700.0000 D Non-Qualified Stock Option (right to buy) 75.2500 2004-01-02 2011-01-01 Common Stock 22000.0000 D Non-Qualified Stock Option (right to buy) 77.0000 2004-04-26 2011-04-25 Common Stock 50000.0000 D Non-Qualified Stock Option (right to buy) 64.3400 2005-01-02 2012-01-01 Common Stock 36700.0000 D Non-Qualified Stock Option (right to buy) 63.4100 2006-01-02 2013-01-01 Common Stock 38000.0000 D Phantom Stock Unit 0.0000 1988-08-08 1988-08-08 Common Stock 811.0331 D The shares were acquired during the year pursuant to the United Technologies Corporation Savings Plan, a 401(k) plan. The acquisition of such shares is exempt and shares are convertible or redeemable at the option of the employee, at the termination of employment with the Corporation. A share of ESOP stock is convertible into four shares of common stock and is enttitled to 5.2 votes. Placeholder date entered in accordance with 5/7/03 SEC Staff instructions for electronic filers. Under the Plan, executives may elect to receive the value in a lump sum or in installments following retirement or on specified dates after a five year deferral period. By: /s/ Charles F. Hildebrand as Attorney-in-Fact 2003-07-09 -----END PRIVACY-ENHANCED MESSAGE-----