0001225208-12-012739.txt : 20120517 0001225208-12-012739.hdr.sgml : 20120517 20120517170647 ACCESSION NUMBER: 0001225208-12-012739 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120517 FILED AS OF DATE: 20120517 DATE AS OF CHANGE: 20120517 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: Maurer Michael B CENTRAL INDEX KEY: 0001549781 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00812 FILM NUMBER: 12852830 MAIL ADDRESS: STREET 1: UNITED TECHNOLOGIES CORPORATION STREET 2: ONE FINANCIAL PLAZA CITY: HARTFORD STATE: CT ZIP: 06101 3 1 doc3.xml X0205 3 2012-05-17 0 0000101829 UNITED TECHNOLOGIES CORP /DE/ UTX 0001549781 Maurer Michael B ONE FINANCIAL PLAZA HARTFORD CT 06101 1 President, Sikorsky Aircraft Common Stock 6017.0000 D Common Stock 3712.0000 I By Savings Plan Trustee Non-Qualified Stock Option (right to buy) 46.7600 2007-01-09 2014-01-08 Common Stock 15000.0000 D Non-Qualified Stock Option (right to buy) 51.5000 2008-01-03 2015-01-02 Common Stock 11300.0000 D Restricted Stock Units Common Stock 6215.0000 D SRP Stock Unit Common Stock 293.4662 D Stock Appreciation Right 54.9500 2012-01-02 2019-01-01 Common Stock 17600.0000 D Stock Appreciation Right 56.5300 2009-01-03 2016-01-02 Common Stock 7800.0000 D Stock Appreciation Right 62.4700 2010-01-09 2017-01-08 Common Stock 9500.0000 D Stock Appreciation Right 71.6300 2013-01-04 2020-01-03 Common Stock 12000.0000 D Stock Appreciation Right 74.6600 2015-01-03 2022-01-02 Common Stock 14000.0000 D Stock Appreciation Right 75.2100 2011-01-02 2018-01-01 Common Stock 10900.0000 D Stock Appreciation Right 78.9900 2014-01-03 2021-01-02 Common Stock 12300.0000 D The restricted stock units vest in two installments. 3,108 units are scheduled to vest on July 1, 2012 and 3,107 units are scheduled to vest on July 1, 2014. Each restricted stock unit represents a contingent right to receive one share of United Technologies Corporation common stock. 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 3,440 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 time period. The reporting person was also awarded 3,700 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 time 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 time period. /s/ Charles F. Hildebrand as Attorney-in-Fact 2012-05-17