SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person*
Whitehouse David R

(Last) (First) (Middle)
ONE FINANCIAL PLAZA

(Street)
HARTFORD CT 06101

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
04/01/2015
3. Issuer Name and Ticker or Trading Symbol
UNITED TECHNOLOGIES CORP /DE/ [ UTX ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Vice President, Treasurer
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock 1,047 D
Common Stock 141.36 I By Savings Plan Trustee
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Restricted Stock Units 1/2/13 (1) (1) Common Stock 1,400(2) (3) D
Restricted Stock Units 1/2/14 (4) (4) Common Stock 1,025(5) (3) D
Restricted Stock Units 1/2/15 (6) (6) Common Stock 2,175(7) (3) D
Restricted Stock Units RSU (8) (8) Common Stock 1,631 (3) D
SRP Stock Unit (9) (9) Common Stock 44.83 (9) D
Explanation of Responses:
1. The restricted stock units vest on January 2, 2016.
2. On January 2, 2013, the reporting person was also awarded 670 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.
3. Each restricted stock unit represents a contingent right to receive one share of United Technologies Corporation common stock.
4. The restricted stock units vest on January 2, 2017.
5. On January 2, 2014, the reporting person was also awarded 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 time period.
6. The restricted stock units vest on January 2, 2018.
7. On January 2, 2015, the reporting person was also awarded 1,020 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.
8. The restricted stock units vest on June 1, 2016.
9. 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.
Remarks:
whitehouse.txt
/s/ Charles F. Hildebrand as Attorney-in-Fact 04/06/2015
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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