SEC FORM 3 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*
JOHRI AKHIL

(Last) (First) (Middle)
UNITED TECHNOLOGIES CORPORATION
ONE FINANCIAL PLAZA

(Street)
HARTFORD CT 06101

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
03/31/2011
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)
VP, Financial Planning & IR
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 15,337 D
Common Stock 3,430.204 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
Non-Qualified Stock Option (right to buy) 01/02/2006 01/01/2013 Common Stock 25,000 31.705 D
Non-Qualified Stock Option (right to buy) 01/09/2007 01/08/2014 Common Stock 25,200 46.76 D
Non-Qualified Stock Option (right to buy) 01/03/2008 01/02/2015 Common Stock 23,400 51.5 D
Restricted Stock Units (1) (1) Common Stock 9,604.696 (1) D
SRP Stock Unit (2) (2) Common Stock 221.9824 (2) D
Stock Appreciation Right 01/02/2012 01/01/2019 Common Stock 21,900 54.95 D
Stock Appreciation Right 01/03/2009 01/02/2016 Common Stock 14,500 56.53 D
Stock Appreciation Right 01/03/2010 01/02/2017 Common Stock 14,600 62.81 D
Stock Appreciation Right 01/04/2013 01/03/2020 Common Stock 14,500 71.63 D
Stock Appreciation Right 01/02/2011 01/01/2018 Common Stock 13,600 75.21 D
Stock Appreciation Right 01/03/2014 01/02/2021 Common Stock 22,500 78.99 D
Explanation of Responses:
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. 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.
/s/ Akhil Johri 04/07/2011
** 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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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