0001225208-11-023143.txt : 20111007
0001225208-11-023143.hdr.sgml : 20111007
20111007170444
ACCESSION NUMBER: 0001225208-11-023143
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110928
FILED AS OF DATE: 20111007
DATE AS OF CHANGE: 20111007
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: Dumais Michael R
CENTRAL INDEX KEY: 0001531769
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-00812
FILM NUMBER: 111132885
MAIL ADDRESS:
STREET 1: UNITED TECHNOLOGIES CORPORATION
STREET 2: ONE FINANCIAL PLAZA
CITY: HARTFORD
STATE: CT
ZIP: 06101
3
1
doc3.xml
X0204
3
2011-09-28
0
0000101829
UNITED TECHNOLOGIES CORP /DE/
UTX
0001531769
Dumais Michael R
ONE FINANCIAL PLAZA
HARTFORD
CT
06101
1
President, Hamilton Sundstrand
Common Stock
3081.0000
D
Common Stock
1044.0000
I
By Savings Plan Trustee
Non-Qualified Stock Option (right to buy)
46.7600
2007-01-09
2014-01-08
Common Stock
18000.0000
D
Non-Qualified Stock Option (right to buy)
51.5000
2008-01-03
2015-01-02
Common Stock
15300.0000
D
SRP Stock Unit
Common Stock
259.7900
D
Stock Appreciation Right
54.9500
2012-01-02
2019-01-01
Common Stock
20600.0000
D
Stock Appreciation Right
56.5300
2009-01-03
2016-01-02
Common Stock
10700.0000
D
Stock Appreciation Right
62.8100
2010-01-03
2017-01-02
Common Stock
11700.0000
D
Stock Appreciation Right
71.6300
2013-01-04
2020-01-03
Common Stock
14200.0000
D
Stock Appreciation Right
75.2100
2011-01-02
2018-01-01
Common Stock
12200.0000
D
Stock Appreciation Right
78.9900
2014-01-03
2021-01-02
Common Stock
17200.0000
D
Each Savings Restoration Plan ("SRP") stock unit is the economic equivalent of one share of UTC common stock. The reported SRP stock units were acquired under UTC's Savings Restoration Plan, an excess benefit plan, and are to be settled upon the reporting person's retirement or other termination of service.
The reporting person was also awarded 4,740 performance share units (PSUs) under the UTC Long Term Incentive Plan. Each PSU has a value equal to one share of UTC common stock. These PSUs vest solely upon achievement of pre-established performance targets for UTC's earnings per share and total shareholder return over a three year performance period.
The reporting person was also awarded 4,090 performance share units (PSUs) under the UTC Long Term Incentive Plan. Each PSU has a value equal to one share of UTC common stock. These PSUs vest solely upon achievement of pre-established performance targets for UTC's earnings per share and total shareholder return over a three year performance period.
The reporting person was also awarded 4,450 performance share units (PSUs) under the UTC Long Term Incentive Plan. Each PSU has a value equal to one share of UTC common stock. These PSUs vest solely upon achievement of pre-established performance targets for UTC's earnings per share and total shareholder return.
/s/ Charles F. Hildebrand as Attorney-in-Fact
2011-10-07