UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 OR 15(d) of The
Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): November 16, 2011
UNITED TECHNOLOGIES CORPORATION
(Exact name of registrant as specified in its charter)
| Delaware | 1-812 | 06-0570975 | ||
| (State or other jurisdiction of incorporation) |
(Commission File Number) |
(I.R.S. Employer Identification No.) |
One Financial Plaza
Hartford, Connecticut 06103
(Address of principal executive offices, including zip code)
Registrant’s telephone number, including area code
(860) 728-7000
N/A
(Former name or former address, if changed since last report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
| ¨ | Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
| ¨ | Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
| ¨ | Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
| ¨ | Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
Section 8 – Other Events
| Item 8.01. | Other Events. |
On November 16, 2011, United Technologies Corporation issued a press release announcing that it will exercise its rights to redeem the $500 million aggregate principal amount of its outstanding 6.10% Notes due May 15, 2012.
The press release issued November 16, 2011 is furnished herewith as Exhibit No. 99.1 to this Report, and shall not be deemed filed for purposes of Section 18 of the Securities Exchange Act of 1934, as amended.
Section 9 – Financial Statements and Exhibits
| Item 9.01. | Financial Statements and Exhibits. |
| (d) | Exhibits |
| Exhibit Number |
Exhibit Description | |
| 99.1 | Press release, dated November 16, 2011, issued by United Technologies Corporation | |
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
| UNITED TECHNOLOGIES CORPORATION (Registrant) | ||||||
| Date: November 16, 2011 | By: | /s/ KATHLEEN M. HOPKO | ||||
| Kathleen M. Hopko | ||||||
| Vice President, Secretary and Associate General Counsel | ||||||
EXHIBIT INDEX
| Exhibit Number |
Exhibit Description | |
| 99.1 | Press release, dated November 16, 2011, issued by United Technologies Corporation. | |
EXHIBIT 99.1
UTC CALLS FOR REDEMPTION OF ALL OF ITS OUTSTANDING 6.10 PERCENT NOTES
DUE MAY 15, 2012
HARTFORD, Conn., Nov. 16, 2011 – United Technologies Corp. (NYSE: UTX) today called for redemption of all of its 6.10 Percent Notes due May 15, 2012. The outstanding aggregate principal amount of the notes is $500 million.
The redemption date will be December 16, 2011. The redemption price will be the greater of: (i) 100 percent of the principal amount of the notes; and (ii) the sum of the present values of the remaining scheduled payments of principal and interest on the notes, discounted to the redemption date as described in the notes, using a reference treasury rate plus 20 basis points. In either case, the redemption price will also include interest accrued on the notes to the redemption date.
United Technologies Corp., based in Hartford, Connecticut, is a diversified company providing high technology products and services to the building and aerospace industries.
From time to time, UTC may make statements that predict or forecast future events or results, depend on future events for their accuracy or otherwise contain “forward-looking information.” These statements are made based on management’s expectations and beliefs concerning future events and are not guarantees of future performance. Actual results may differ materially due to various risks and uncertainties. Important factors that could cause actual results to differ materially from those anticipated or implied in forward looking statements are described in UTC’s Form 10-K and 10-Q Reports under the headings “Business”, “Risk Factors”, “Management’s Discussion and Analysis of Financial Condition and Results of Operations” and “Cautionary Note Concerning Factors that May Affect Future Results”, as well as the information included in UTC’s Current Reports on Form 8-K.
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