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* FINGER STEPHEN N (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) 07/01/2003	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) President, Sikorsky Aircraft	5. If Amendment, Date of Original Filed (Month/Day/Year) 07/09/2003
			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	116	D
Common Stock	5,224.464	I	By Savings Plan Trustee
Common Stock (Career Restricted)	2,800	D

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
ESOP Series A Convertible Preferred Stock(1)	11/06/2003	08/08/1988	Common Stock	4,345.444(2)	0.0000	I	By Savings Plan Trustee
Non-Qualified Stock Option (right to buy)	02/01/1997	01/31/2004	Common Stock	5,000	16.6563	D
Non-Qualified Stock Option (right to buy)	02/06/1998	02/04/2005	Common Stock	14,000	16.2813	D
Non-Qualified Stock Option (right to buy)	02/05/1999	02/03/2006	Common Stock	14,000	25	D
Non-Qualified Stock Option (right to buy)	02/03/2000	02/02/2007	Common Stock	16,000	34.5	D
Non-Qualified Stock Option (right to buy)	01/02/2001	01/01/2008	Common Stock	20,000	36.5625	D
Non-Qualified Stock Option (right to buy)	01/04/2002	01/03/2009	Common Stock	20,000	54	D
Non-Qualified Stock Option (right to buy)	01/03/2003	01/02/2010	Common Stock	21,700	62.5	D
Non-Qualified Stock Option (right to buy)	01/02/2004	01/01/2011	Common Stock	22,200(3)	75.25	D
Non-Qualified Stock Option (right to buy)	04/26/2004	04/25/2011	Common Stock	50,000	77	D
Non-Qualified Stock Option (right to buy)	01/02/2005	01/01/2012	Common Stock	36,700	64.34	D
Non-Qualified Stock Option (right to buy)	01/02/2006	01/01/2013	Common Stock	38,000	63.41	D
Phantom Stock Unit	08/08/1988(4)	08/08/1988(4)	Common Stock	811.0331	0.0000	D

Explanation of Responses:

1. Each share of ESOP Series A Convertible Preferred Stock is convertible into four shares of UTC Common Stock. All shares of ESOP Series A Convertible Preferred Stock are held by the Trustee for the UTC Savings Plan for the benefit of employees participating in the Savings Plan. On November 6, 2003 the Trustee exercised its right to convert all shares of ESOP Series A Convertible Preferred Stock into UTC Common Stock.

2. The shares were acquired during the year pursuant to the United Technologies Corporation Savings Plan, a 401(k) plan. The acquisition of such shares is exempt and shares are convertible or redeemable at the option of the employee, at the termination of employment with the Corporation. A share of ESOP stock is convertible into four shares of common stock and is enttitled to 5.2 votes.

3. Due to a typographical error the amount of options originally reported was in correct.

4. Placeholder date entered in accordance with 5/7/03 SEC Staff instructions for electronic filers. Under the Plan, executives may elect to receive the value in a lump sum or in installments following retirement or on specified dates after a five year deferral period.

Remarks:

	By: /s/ Charles F. Hildebrand as Attorney-in-Fact	02/05/2004
	** 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).
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