0001225208-14-001039.txt : 20140106 0001225208-14-001039.hdr.sgml : 20140106 20140106172311 ACCESSION NUMBER: 0001225208-14-001039 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140102 FILED AS OF DATE: 20140106 DATE AS OF CHANGE: 20140106 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00812 FILM NUMBER: 14510966 MAIL ADDRESS: STREET 1: UNITED TECHNOLOGIES CORPORATION STREET 2: ONE FINANCIAL PLAZA CITY: HARTFORD STATE: CT ZIP: 06101 4 1 doc4.xml X0306 4 2014-01-02 0000101829 UNITED TECHNOLOGIES CORP /DE/ UTX 0001542911 Baranda Riva, Pedro Sainz De ONE FINANCIAL PLAZA HARTFORD CT 06101 1 President, Otis Elevator Common Stock 2518.0000 D Common Stock 589.0000 I By Savings Plan Trustee Stock Appreciation Right 112.4900 2014-01-02 4 A 0 52500.0000 112.4900 A 2024-01-01 Common Stock 52500.0000 52500.0000 D Stock Appreciation Right 112.4900 2014-01-02 4 A 0 33000.0000 112.4900 A 2017-01-02 2024-01-01 Common Stock 33000.0000 33000.0000 D 50% of the stock appreciation rights become exercisable on 12/31/2015 and 50% of the stock appreciation rights become exercisable on 12/31/2017, subject to the achievement of pre-established UTC Building & Industrial Systems earnings, sales, and other financial targets. The reporting person was also awarded 8,600 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 2014-01-06