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) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Non-Qualified Stock Option (right to buy)
|
01/03/2003 |
01/02/2010 |
Common Stock
|
26,600
|
$
31.25
|
D
|
Â
|
Non-Qualified Stock Option (right to buy)
|
01/02/2004 |
01/01/2011 |
Common Stock
|
33,200
|
$
37.625
|
D
|
Â
|
Non-Qualified Stock Option (right to buy)
|
04/26/2004 |
04/25/2011 |
Common Stock
|
100,000
|
$
38.5
|
D
|
Â
|
Non-Qualified Stock Option (right to buy)
|
01/02/2005 |
01/01/2012 |
Common Stock
|
45,000
|
$
32.17
|
D
|
Â
|
Non-Qualified Stock Option (right to buy)
|
01/02/2006 |
01/01/2013 |
Common Stock
|
50,800
|
$
31.705
|
D
|
Â
|
Non-Qualified Stock Option (right to buy)
|
01/09/2007 |
01/08/2014 |
Common Stock
|
40,000
|
$
46.76
|
D
|
Â
|
Non-Qualified Stock Option (right to buy)
|
01/03/2008 |
01/02/2015 |
Common Stock
|
38,000
|
$
51.5
|
D
|
Â
|
Stock Appreciation Right
|
01/03/2009 |
01/02/2016 |
Common Stock
|
25,500
|
$
56.53
|
D
(2)
|
Â
|
Stock Appreciation Right
|
01/03/2010 |
01/02/2017 |
Common Stock
|
28,000
|
$
62.81
|
D
(3)
|
Â
|
* |
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 initial Form 3 inadvertently overstated indirect holdings by the Savings Plan Trustee by 2,743.0293 shares. |
(2) |
The reporting person was also awarded 7,800 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 performance period. |
(3) |
The reporting person was also awarded 7,500 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. |