-----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, WEP55BIITIENzc5PqCkOyNlsxj1cENLhU9M7O1zZqMAlGko1CQ+CUiocTNI9tQbK Lj/ckqGHk/px9i+bdHsVaA== 0000101829-03-000338.txt : 20031107 0000101829-03-000338.hdr.sgml : 20031107 20031107163452 ACCESSION NUMBER: 0000101829-03-000338 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20031106 FILED AS OF DATE: 20031107 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DARNIS GERAUD CENTRAL INDEX KEY: 0001184185 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00812 FILM NUMBER: 03985635 MAIL ADDRESS: STREET 1: UNITED TECHNOLOGIES CORP STREET 2: ONE FINANCIAL PLAZA CITY: HARTFORD STATE: CT ZIP: 06101 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 4 1 dar164.xml X0201 4 2003-11-06 0 0000101829 UNITED TECHNOLOGIES CORP /DE/ UTX 0001184185 DARNIS GERAUD UNITED TECHNOLOGIES CORPORATION ONE FINANCIAL PLAZA HARTFORD CT 06101 0 1 0 0 President, Carrier Corporation Common Stock 2003-11-06 4 C 0 1168.404 87.3300 A 2830.9250 I By Savings Plan Trustee Common Stock 11850.2830 D ESOP Series A Convertible Preferred Stock 0.0000 2003-11-06 4 C 0 292.101 0 D 2003-11-06 Common Stock 1168.4040 0.0000 I By Savings Plan Trustee The reporting person also directly owns 2,112 shares of United Technologies Career Restricted Common Stock and 10,000 shares of Restricted Common Stock. Each share of ESOP Series A Convertible Preferred Stock is convertible into four shares of UTC Common Stock. All shares of ESOP Series A Convertible Preferred Stock are held by the Trustee for the UTC Savings Plan for the benefit of employees participating in the Savings Plan. On November 6, 2003 the Trustee exercised its right to convert all shares of ESOP Series A Convertible Preferred Stock into UTC Common Stock. By: /s/ Charles F. Hildebrand as Attorney-in-Fact 2003-11-07 -----END PRIVACY-ENHANCED MESSAGE-----