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): August 1, 2002
UNITED TECHNOLOGIES CORPORATION
(exact name of registrant as specified in its charter)
Delaware |
1-812 |
06-0570975 |
United Technologies Building, 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)
Item 9. Other Events
On August 1, 2002, George David, Chairman and Chief Executive Officer of United Technologies Corporation (the "Corporation"), and David J. FitzPatrick, Senior Vice President, Chief Financial Officer of the Corporation, each filed with Securities and Exchange Commission (the "SEC") a statement under oath regarding facts and circumstances relating to the Securities Exchange Act filings, as required by the SEC’s Order Requiring the Filing of Sworn Statements Pursuant to Section 21(a)(1) of the Securities Exchange Act of 1934 (File No. 4-460, June 27, 2002).
Item 7. Exhibits
The following are annexed as Exhibits:
| Exhibit Number |
Description |
| 99(i) | Statement Under Oath of George David, Chairman and Chief Executive Officer of United Technologies Corporation, Regarding Facts and Circumstances Relating to Exchange Act Filings |
| 99(ii) | Statement Under Oath of David J. FitzPatrick, Senior Vice President, Chief Financial Officer of United Technologies Corporation, Regarding Facts and Circumstances Relating to Exchange Act Filings |
SIGNATURE
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.
|
Date: August 1, 2002 |
UNITED TECHNOLOGIES
CORPORATION (Registrant)
By: /s/ William H. Trachsel
|
INDEX TO EXHIBITS
| Exhibit Number |
Exhibit Description |
| 99(i) | Statement Under Oath of George
David, Chairman and Chief Executive Officer of United Technologies Corporation, Regarding
Facts and Circumstances Relating to Exchange Act Filings |
| 99(ii) | Statement Under Oath of David J. FitzPatrick, Senior Vice President, Chief Financial Officer of United Technologies Corporation, Regarding Facts and Circumstances Relating to Exchange Act Filings |
Exhibit 99(i)
STATEMENT UNDER OATH OF PRINCIPAL EXECUTIVE OFFICER REGARDING FACTS AND CIRCUMSTANCES RELATING TO EXCHANGE ACT FILINGS
I, George David, Chairman and Chief Executive Officer of United Technologies Corporation, state and attest that:
(1) To the best of my knowledge, based upon a review of the covered reports of United Technologies Corporation, and, except as corrected or supplemented in a subsequent covered report:
no covered report contained an untrue statement of a material fact as of the end of the period covered by such report (or in the case of a report on Form 8-K or definitive proxy materials, as of the date on which it was filed); and
no covered report omitted to state a material fact necessary to make the statements in the covered report, in light of the circumstances under which they were made, not misleading as of the end of the period covered by such report (or in the case of a report on Form 8-K or definitive proxy materials, as of the date on which it was filed).
(2) I have reviewed the contents of this statement with United Technologies Corporation’s Audit Committee.
(3) In this statement under oath, each of the following, if filed on or before the date of this statement, is a "covered report":
Annual Report on Form 10-K of United Technologies Corporation filed with the Commission for the year ended December 31, 2001;
all reports on Form 10-Q, all reports on Form 8-K and all definitive proxy materials of United Technologies Corporation filed with the Commission subsequent to the filing of the Form 10-K identified above; and
any amendments to any of the foregoing.
/s/ George David
George David
August 1, 2002Subscribed and sworn to before me this 1st day of August, 2002.
/s/ Gigi M. Barnard
Notary Public: Gigi M. Barnard
My Commission Expires:February 28, 2004
Exhibit 99(ii)
STATEMENT UNDER OATH OF PRINCIPAL FINANCIAL OFFICER REGARDING FACTS AND CIRCUMSTANCES RELATING TO EXCHANGE ACT FILINGS
I, David J. FitzPatrick, Senior Vice President, Chief Financial Officer of United Technologies Corporation, state and attest that:
(1) To the best of my knowledge, based upon a review of the covered reports of United Technologies Corporation, and, except as corrected or supplemented in a subsequent covered report:
no covered report contained an untrue statement of a material fact as of the end of the period covered by such report (or in the case of a report on Form 8-K or definitive proxy materials, as of the date on which it was filed); and
no covered report omitted to state a material fact necessary to make the statements in the covered report, in light of the circumstances under which they were made, not misleading as of the end of the period covered by such report (or in the case of a report on Form 8-K or definitive proxy materials, as of the date on which it was filed).
(2) I have reviewed the contents of this statement with United Technologies Corporation’s Audit Committee.
(3) In this statement under oath, each of the following, if filed on or before the date of this statement, is a "covered report":
Annual Report on Form 10-K of United Technologies Corporation filed with the Commission for the year ended December 31, 2001;
all reports on Form 10-Q, all reports on Form 8-K and all definitive proxy materials of United Technologies Corporation filed with the Commission subsequent to the filing of the Form 10-K identified above; and
any amendments to any of the foregoing.
/s/ David J.
FitzPatrick |
Subscribed and sworn to before me this 1st
day of August, 2002. /s/ Dolores B. Plourde Notary Public: Dolores B. Plourde January 31, 2004 |