0001225208-12-005049.txt : 20120222 0001225208-12-005049.hdr.sgml : 20120222 20120222172902 ACCESSION NUMBER: 0001225208-12-005049 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120214 FILED AS OF DATE: 20120222 DATE AS OF CHANGE: 20120222 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: Baranda Riva, Pedro Sainz De CENTRAL INDEX KEY: 0001542911 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00812 FILM NUMBER: 12631304 MAIL ADDRESS: STREET 1: UNITED TECHNOLOGIES CORPORATION STREET 2: ONE FINANCIAL PLAZA CITY: HARTFORD STATE: CT ZIP: 06101 3 1 doc3.xml X0204 3 2012-02-14 0 0000101829 UNITED TECHNOLOGIES CORP /DE/ UTX 0001542911 Baranda Riva, Pedro Sainz De ONE FINANCIAL PLAZA HARTFORD CT 06101 1 President, Otis Elevator Non-Qualified Stock Option (right to buy) 31.7050 2006-01-02 2013-01-01 Common Stock 3500.0000 D Non-Qualified Stock Option (right to buy) 46.7600 2007-01-09 2014-01-08 Common Stock 5400.0000 D Non-Qualified Stock Option (right to buy) 51.5000 2008-01-03 2015-01-02 Common Stock 9400.0000 D Stock Appreciation Right 54.9500 2012-01-02 2019-01-01 Common Stock 15800.0000 D Stock Appreciation Right 56.5300 2009-01-03 2016-01-02 Common Stock 8200.0000 D Stock Appreciation Right 62.8100 2010-01-03 2017-01-02 Common Stock 8800.0000 D Stock Appreciation Right 71.6300 2013-01-04 2020-01-03 Common Stock 8800.0000 D Stock Appreciation Right 74.6600 2015-01-03 2022-01-02 Common Stock 12700.0000 D Stock Appreciation Right 75.2100 2011-01-02 2018-01-01 Common Stock 9100.0000 D Stock Appreciation Right 78.9900 2014-01-03 2021-01-02 Common Stock 12300.0000 D The reporting person was also awarded 2,530 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 3,370 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 3,180 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. /s/ Charles F. Hildebrand as Attorney-in-Fact 2012-02-22