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