United Technologies Corporation
UNITED TECHNOLOGIES CORP /DE/ (Form: 3, Received: 08/09/2012 16:40:16)
FORM 3
        
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Amato Elizabeth B

2. Date of Event Requiring Statement (MM/DD/YYYY)
8/1/2012 

3. Issuer Name and Ticker or Trading Symbol

UNITED TECHNOLOGIES CORP /DE/ [UTX]

(Last)        (First)        (Middle)

ONE FINANCIAL PLAZA

4. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                            _____ 10% Owner
___ X ___ Officer (give title below)          _____ Other (specify below)
SVP, Human Resources & Org. /

(Street)

HARTFORD, CT 06101       

(City)              (State)              (Zip)
5. If Amendment, Date Original Filed (MM/DD/YYYY)

 

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   5861.5684   D    
Common Stock   12441.9000   I   By Savings Plan Trustee  

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 4)
2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
4. Conversion or Exercise Price of Derivative Security 5. Ownership Form of Derivative Security: 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)   1/2/2006   1/1/2013   Common Stock   20000.0000   $31.7050   D    
Non-Qualified Stock Option (right to buy)   1/9/2007   1/8/2014   Common Stock   16800.0000   $46.7600   D    
Non-Qualified Stock Option (right to buy)   1/3/2008   1/2/2015   Common Stock   14300.0000   $51.5000   D    
Phantom Stock Unit     (1)   (1) Common Stock   5930.0601     (1) D    
SRP Stock Unit     (2)   (2) Common Stock   422.8955     (2) D    
Stock Appreciation Right   1/2/2012   1/1/2019   Common Stock   15400.0000   $54.9500   D    
Stock Appreciation Right   1/3/2009   1/2/2016   Common Stock   9300.0000   $56.5300   D    
Stock Appreciation Right   1/3/2010   1/2/2017   Common Stock   9600.0000   $62.8100   D    
Stock Appreciation Right   1/4/2013   1/3/2020   Common Stock   9100.0000   (3) $71.6300   D    
Stock Appreciation Right   1/3/2015   1/2/2022   Common Stock   12700.0000   (4) $74.6600   D    
Stock Appreciation Right   1/2/2011   1/1/2018   Common Stock   9100.0000   $75.2100   D    
Stock Appreciation Right   1/3/2014   1/2/2021   Common Stock   9700.0000   (5) $78.9900   D    

Explanation of Responses:
( 1)  Deferred phantom stock units acquired at the election of the executive under the United Technoogies Corporation Deferred Compenstion Program, in a transaction exempt under Rule 16b-3.
( 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.
( 3)  The reporting person was also awarded 2,610 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 earnings per share and total shareholder return over a three year time period.
( 4)  The reporting person was also awarded 3,370 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 earnings per share and total shareholder return over a three year time period.
( 5)  The reporting person was also awarded 2,510 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 earnings per share and total shareholder return over a three year time period.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
Amato Elizabeth B
ONE FINANCIAL PLAZA
HARTFORD, CT 06101


SVP, Human Resources & Org.

Signatures
/s/ Charles F. Hildebrand as Attorney-in-Fact 8/9/2012
** Signature of Reporting Person Date


Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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