0001225208-13-020337.txt : 20130920
0001225208-13-020337.hdr.sgml : 20130920
20130920170412
ACCESSION NUMBER: 0001225208-13-020337
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20130912
FILED AS OF DATE: 20130920
DATE AS OF CHANGE: 20130920
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: Adams Paul R.
CENTRAL INDEX KEY: 0001587263
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-00812
FILM NUMBER: 131108483
MAIL ADDRESS:
STREET 1: UNITED TECHNOLOGIES CORPORATION
STREET 2: ONE FINANCIAL PLAZA
CITY: HARTFORD
STATE: CT
ZIP: 06101
3
1
doc3.xml
X0206
3
2013-09-12
0
0000101829
UNITED TECHNOLOGIES CORP /DE/
UTX
0001587263
Adams Paul R.
ONE FINANCIAL PLAZA
HARTFORD
CT
06101
1
COO, Pratt & Whitney
Common Stock
22.0000
D
Common Stock
2400.0000
I
By Savings Plan Trustee
Non-Qualified Stock Option (right to buy)
51.5000
2008-01-03
2015-01-02
Common Stock
15300.0000
D
Restricted Stock Units
Common Stock
12289.6813
D
SRP Stock Unit
Common Stock
853.6491
D
Stock Appreciation Right
54.9500
2012-01-02
2019-01-01
Common Stock
22000.0000
D
Stock Appreciation Right
56.5300
2009-01-03
2016-01-02
Common Stock
10300.0000
D
Stock Appreciation Right
62.8100
2010-01-03
2017-01-02
Common Stock
11400.0000
D
Stock Appreciation Right
71.6300
2013-01-04
2020-01-03
Common Stock
16000.0000
D
Stock Appreciation Right
74.6600
2015-01-03
2022-01-02
Common Stock
25500.0000
D
Stock Appreciation Right
75.2100
2011-01-02
2018-01-01
Common Stock
11300.0000
D
Stock Appreciation Right
78.9900
2014-01-03
2021-01-02
Common Stock
18500.0000
D
Stock Appreciation Right
79.0600
2023-01-01
Common Stock
77440.0000
D
Stock Appreciation Right
84.0000
2016-01-02
2023-01-01
Common Stock
33000.0000
D
The restricted stock units vest on retirement from UTC on or after age 62 with a minimum of three years of service as a member of UTC's Executive Leadership Group. 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 6,800 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 4,800 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.
50% of the stock appreciation rights become exercisable on 12/31/2014 and 50% of the stock appreciation rights become exercisable on 12/31/2016, each subject to achievement of pre-established Pratt & Whitney earnings and other financial targets.
The reporting person was also awarded 8,000 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
2013-09-20