-----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, OacgsIWlsbbBN4ZNv5Cnu+LzWNWrcsH0N/lSUkJ0gp6Fw+GLKhMFCnMaFdFsM5K7 p9Lk+usGX1en1ElpvuVE2g== 0000101829-04-000096.txt : 20040206 0000101829-04-000096.hdr.sgml : 20040206 20040206161219 ACCESSION NUMBER: 0000101829-04-000096 CONFORMED SUBMISSION TYPE: 3/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030701 FILED AS OF DATE: 20040206 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: 8607287000 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-00812 FILM NUMBER: 04574476 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/A 1 fin239.xml X0201 3/A 2003-07-01 2003-07-09 0 0000101829 UNITED TECHNOLOGIES CORP /DE/ UTX 0001252946 FINGER STEPHEN N UNITED TECHNOLOGIES CORPORATION ONE FINANCIAL PLAZA HARTFORD CT 06101 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 2003-11-06 1988-08-08 Common Stock 4345.4440 I By Savings Plan Trustee 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 22200.0000 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 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. 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. Due to a typographical error the amount of options originally reported was in correct. 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 2004-02-05 -----END PRIVACY-ENHANCED MESSAGE-----