UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Non-Qualified Stock Option (right to buy) | 01/12/2007 | 01/11/2014 | Common Stock | 31,600 | $ 46.4749 | D | Â |
Non-Qualified Stock Option (right to buy) | 01/03/2008 | 01/02/2015 | Common Stock | 32,000 | $ 51.5 | D | Â |
Restricted Stock Units | Â (1) | Â (1) | Common Stock | 12,057.9601 | $ (1) | D (2) | Â |
Stock Appreciation Right | 01/03/2009 | 01/02/2016 | Common Stock | 16,200 | $ 56.53 | D (3) | Â |
Stock Appreciation Right | 01/03/2010 | 01/02/2017 | Common Stock | 20,500 | $ 62.81 | D (4) | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Valentine Debra A UNITED TECHNOLOGIES CORPORATION ONE FINANCIAL PLAZA HARTFORD, CT 06101 |
 |  |  VP, Deputy GC and Secretary |  |
By: /s/ Charles F. Hildebrand as Attorney-in-Fact | 07/03/2007 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | 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. |
(2) | These shares were inadvertently omitted from the reporting person's original Form 3. |
(3) | The reporting person was also awarded 4,980 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 performance period. |
(4) | The reporting person was also awarded 5,600 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 performance period. |