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