| 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, Section 17(a) of the Public Utility
Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person*
Hayes, Gregory
(Last) (First) (Middle)
United Technologies Corporation
One Financial Plaza
(Street)
Hartford, CT 06101
(City) (State) (Zip)
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2. Date of Event
Requiring Statement
(Month/Day/Year)
April 01, 2003
3. I.R.S. Identification
Number of Reporting
Person, if an entity
(voluntary)
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4. Issuer Name and Ticker or Trading Symbol
United Technologies Corporation UTX
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable) Director
10% Owner
X Officer
Other
Officer/Other
Description
Vice President, Controller
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6. If Amendment, Date of
Original (Month/Day/Year)
7. Individual or Joint/Group
Filing (Check Applicable Line) X Individual Filing
Joint/Group Filing
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Table I - Non-Derivative Securities Beneficially Owned
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1. Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form :
(D) Direct
(I) Indirect (Instr. 5) |
4. Nature of Beneficial Ownership
(Instr. 5)
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| Common Stock | 269.979 | I | By Savings Plan Trustee |
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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).
(over)
SEC 1473 (3-99) |
| Hayes, Gregory - April 2003 |
| Form 3 (continued) |
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivative Security
(Instr. 4)
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2. Date Exercisable(DE) and Expiration Date(ED)
(DE) | (ED)
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3. Title and Amount of of Underlying Security
(Instr. 4)
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4. Conversion or
Exercise Price
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5. Ownership
Form
(D) Direct
or
(I) Indirect
(Instr. 5)
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6. Nature of Indirect
Beneficial Ownership
(Instr. 5)
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| ESOP Series A Convertible Preferred Stock |
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Common Stock - 385.716 | $0.0000 | I | By Savings Plan Trustee |
| Non-Qualified Stock Option (right to buy) | 01/03/2003 | 01/02/2010 | Common Stock - 5,300.000 | $62.5000 | D | |
| Non-Qualified Stock Option (right to buy) | 01/02/2004 | 01/01/2011 | Common Stock - 5,900.000 | $75.2500 | D | |
| Non-Qualified Stock Option (right to buy) | 01/02/2005 | 01/01/2012 | Common Stock - 7,900.000 | $64.3400 | D | |
| Non-Qualified Stock Option (right to buy) | 01/02/2006 | 01/01/2013 | Common Stock - 10,000.000 | $63.4100 | D | |
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** 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.
Potential persons who are to respond to the collection of information contained in this form are not
required to respond unless the form displays a currently valid OMB number.
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/s/ Gregory Hayes
________________________________ __________________
** Signature of Reporting Person Date
Page 2
SEC 1473 (3-99) |