SEC Filing

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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^*

Calio Christopher T.

(Last)

(First)

(Middle)

10 FARM SPRINGS ROAD

(Street)

FARMINGTON

06032

(City)

(State)

(Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
06/25/2019

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)
Pres, Comm Engines, P&W

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	3,401	D
Common Stock	1,712	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)
1. Title of Derivative Security (Instr. 4)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	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)
Restricted Stock Units	⁽¹⁾	⁽¹⁾	Common Stock	9,559	⁽¹⁾	D
Restricted Stock Units RSU	01/02/2021	⁽²⁾	Common Stock	2,275	⁽²⁾	D
Restricted Stock Units RSU	01/03/2020	⁽²⁾	Common Stock	1,482	⁽²⁾	D
Restricted Stock Units RSU	02/05/2022	⁽²⁾	Common Stock	16,757	⁽²⁾	D
SRP Stock Unit	⁽³⁾	⁽³⁾	Common Stock	296.0384	⁽³⁾	D
Stock Appreciation Right	01/03/2015	01/02/2022	Common Stock	5,800	74.66	D
Stock Appreciation Right	01/02/2016	01/01/2023	Common Stock	5,900	84	D
Stock Appreciation Right	01/04/2019	01/03/2026	Common Stock	13,200	95.57	D
Stock Appreciation Right	01/03/2020	01/02/2027	Common Stock	10,500⁽⁴⁾	110.83	D
Stock Appreciation Right	01/02/2017	01/01/2024	Common Stock	4,700	112.49	D
Stock Appreciation Right	01/02/2018	01/01/2025	Common Stock	5,600	115.04	D
Stock Appreciation Right	02/05/2022	02/04/2029	Common Stock	32,500⁽⁵⁾	120.77	D
Stock Appreciation Right	01/02/2021	01/01/2028	Common Stock	18,500⁽⁶⁾	128.16	D

Explanation of Responses:

1. These Restricted Stock Units (RSU) were awarded in connection with the reporting person's membership in UTC's Executive Leadership Group (ELG). Following three years of ELG service, each RSU, including accumulated dividend equivalents, represents a right to receive one share of UTC Common Stock upon a Qualifying Separation from UTC (as defined in Exhibit 10.6 of UTC's 2018 Form 10-K).

2. Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of UTC Common Stock.

3. 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.

4. In January 2017, the reporting person was also awarded 3,500 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 return on invested capital, earnings per share growth and total shareholder return relative to the S&P 500 index over a three-year time period.

5. In February 2019, the reporting person was also awarded 5,800 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 return on invested capital, earnings per share growth and total shareholder return relative to the S&P 500 index over a three-year time period.

6. In January 2018, the reporting person was also awarded 5,500 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 return on invested capital, earnings per share growth and total shareholder return relative to the S&P 500 index over a three-year time period.

Remarks:

calio.txt

	/s/ Ariel R. David as Attorney-in-Fact	07/03/2019
	** 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.
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 Number.

                                                       POWER OF ATTORNEY

Know all by these presents that the undersigned hereby constitutes and appoints
each of Charles D. Gill, Peter J. Graber-Lipperman and Ariel R. David, signing
individually, as the undersigned's true and lawful attorney-in-fact to:

(1)	execute, for and on behalf of the undersigned, Forms 3, 4, and 5 (and any
replacement form or successor to such forms, as may be established by the U.S.
Securities and Exchange Commission from time to time) in accordance with Section
  16(a) of the Securities Exchange Act of 1934, as amended from time to time and
  the rules thereunder;

(2)	execute, for and on behalf of the undersigned, any Form 144 (and any
replacement form or successor to such form, as may be established by the U.S.
Securities and Exchange Commission from time to time) required to be filed on
behalf of the undersigned in accordance with Rule 144 of the U.S. Securities and
  Exchange Commission, as amended from time to time;

(3)	do and perform any and all acts for and on behalf of the undersigned which
may be necessary or desirable to complete and execute any of the documents
referred to in items (1) and (2) above and timely file the same with the U.S.
Securities and Exchange Commission and any stock exchange or similar authority;
and

(4)	take any action of any type whatsoever in connection with the foregoing
(including but not limited to the execution of any written representations
required on behalf of the undersigned to confirm compliance with Rule 144)
which, in the opinion of such attorney-in-fact, may be of benefit to, in the
best interest of, or legally required by, the undersigned, it being understood
that the documents executed by such attorney-in-fact on behalf of the
undersigned pursuant to this Power of Attorney shall be in such form and shall
contain such terms and conditions as such attorney-in-fact may approve in such
attorney-in-fact's discretion.

The undersigned hereby grants to each such attorney-in-fact full power and
authority to do and perform any and every act and thing whatsoever requisite,
necessary, or proper to be done in the exercise of any of the rights and powers
herein granted, as fully to all intents and purposes as the undersigned might or
  could do if personally present, with full power of substitution or revocation,
  hereby ratifying and confirming all that such attorney-in-fact, or such
attorney-in-fact's substitute or substitutes, shall lawfully do or cause to be
done by virtue of this power of attorney and the rights and powers herein
granted.  The undersigned acknowledges that the foregoing attorneys-in-fact, in
serving in such capacity at the request of the undersigned, are not assuming,
nor is United Technologies Corporation (the "Company") assuming, any of the
undersigned's responsibilities to comply with Section 16 of the Securities
Exchange Act of 1934, Rule 144 of the U.S. Securities and Exchange Commission or
  any other provision of the securities laws.

This Power of Attorney shall remain in full force and effect until the
undersigned is no longer required to file any of the documents referred to above
  with respect to the undersigned's holdings of and transactions in securities
issued by the Company, unless earlier revoked by the undersigned in a signed
writing delivered to the foregoing attorneys-in-fact.

IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be
executed as of this 25th day of June, 2019.



/s/Christopher T. Calio
Christopher T. Calio