RTX

SEC source: 0000101829-03-000356 · rog175.xml · nonDerivative · entry 1

ROGAN THOMAS I · CIK 0001184192 · Vice President, Treasurer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Savings Plan Trustee

Disclosed balance after: 4,462.848

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · balance_after: The reporting person also directly owns 2,480 shares of United Technologies Career Restricted Common Stock.

SEC source: 0000101829-03-000326 · akl156.xml · derivative · entry 2

AKLILU TESFAYE · CIK 0001206275 · Vice President, Quality

10b5-1 filing: Not disclosed

Ownership: Indirect · By Savings Plan Trustee

Disclosed balance after: 0

Underlying: Common Stock · 753.74 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: 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.

F1 · kind: 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.

F1 · derivative.expiration_date: 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.

SEC source: 0000101829-03-000326 · akl156.xml · nonDerivative · entry 1

AKLILU TESFAYE · CIK 0001206275 · Vice President, Quality

10b5-1 filing: Not disclosed

Ownership: Indirect · By Savings Plan Trustee

Disclosed balance after: 753.74

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0000101829-03-000327 · bor157.xml · derivative · entry 3

BORGMAN DEAN C · CIK 0001013068 · Chairman, Sikorsky Aircraft

10b5-1 filing: Not disclosed

Ownership: Indirect · By Savings Plan Trustee

Disclosed balance after: 0

Underlying: Common Stock · 467.084 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: 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.

F1 · derivative.expiration_date: 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.

SEC source: 0000101829-03-000327 · bor157.xml · nonDerivative · entry 1

BORGMAN DEAN C · CIK 0001013068 · Chairman, Sikorsky Aircraft

10b5-1 filing: Not disclosed

Ownership: Indirect · By Savings Plan Trustee

Disclosed balance after: 1,043.301

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0000101829-03-000328 · bou158.xml · derivative · entry 3

BOUSBIB ARI · CIK 0001184180 · President, Otis Elevator

10b5-1 filing: Not disclosed

Ownership: Indirect · By Savings Plan Trustee

Disclosed balance after: 0

Underlying: Common Stock · 673.388 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · security: 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.

F2 · kind: 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.

F2 · derivative.expiration_date: 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.

SEC source: 0000101829-03-000328 · bou158.xml · nonDerivative · entry 1

BOUSBIB ARI · CIK 0001184180 · President, Otis Elevator

10b5-1 filing: Not disclosed

Ownership: Indirect · By Savings Plan Trustee

Disclosed balance after: 1,780.828

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0000101829-03-000329 · bri161.xml · derivative · entry 2

BRITTAN KENT L · CIK 0001184181 · VP, Supply Management

10b5-1 filing: Not disclosed

Ownership: Indirect · By Savings Plan Trustee

Disclosed balance after: 0

Underlying: Common Stock · 4,972.176 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · security: 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.

F2 · kind: 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.

F2 · derivative.expiration_date: 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.

SEC source: 0000101829-03-000329 · bri161.xml · nonDerivative · entry 1

BRITTAN KENT L · CIK 0001184181 · VP, Supply Management

10b5-1 filing: Not disclosed

Ownership: Indirect · By Savings Plan Trustee

Disclosed balance after: 6,326.167

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · balance_after: The reporting person also directly owns 4,560 shares of United Technologies Career Restricted Common Stock.

SEC source: 0000101829-03-000330 · buc160.xml · derivative · entry 3

BUCKNALL WILLIAM L JR · CIK 0001184182 · SVP, Human Resources & Org.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Savings Plan Trustee

Disclosed balance after: 0

Underlying: Common Stock · 5,237.832 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · security: 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.

F2 · kind: 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.

F2 · derivative.expiration_date: 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.

SEC source: 0000101829-03-000330 · buc160.xml · nonDerivative · entry 1

BUCKNALL WILLIAM L JR · CIK 0001184182 · SVP, Human Resources & Org.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Savings Plan Trustee

Disclosed balance after: 5,237.832

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0000101829-03-000336 · cas162.xml · derivative · entry 3

CASSIDY JOHN F JR · CIK 0001184183 · SVP, Science & Technology

10b5-1 filing: Not disclosed

Ownership: Indirect · By Savings Plan Trustee

Disclosed balance after: 0

Underlying: Common Stock · 4,808.12 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · security: 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.

F2 · kind: 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.

F2 · derivative.expiration_date: 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.

SEC source: 0000101829-03-000336 · cas162.xml · nonDerivative · entry 1

CASSIDY JOHN F JR · CIK 0001184183 · SVP, Science & Technology

10b5-1 filing: Not disclosed

Ownership: Indirect · By Savings Plan Trustee

Disclosed balance after: 4,808.12

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0000101829-03-000337 · che163.xml · derivative · entry 3

CHENEVERT LOUIS · CIK 0001184184 · President, Pratt & Whitney

10b5-1 filing: Not disclosed

Ownership: Indirect · By Savings Plan Trustee

Disclosed balance after: 0

Underlying: Common Stock · 855.456 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · security: 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.

F2 · kind: 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.

F2 · derivative.expiration_date: 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.

SEC source: 0000101829-03-000337 · che163.xml · nonDerivative · entry 1

CHENEVERT LOUIS · CIK 0001184184 · President, Pratt & Whitney

10b5-1 filing: Not disclosed

Ownership: Indirect · By Savings Plan Trustee

Disclosed balance after: 1,145.088

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0000101829-03-000338 · dar164.xml · derivative · entry 3

DARNIS GERAUD · CIK 0001184185 · President, Carrier Corporation

10b5-1 filing: Not disclosed

Ownership: Indirect · By Savings Plan Trustee

Disclosed balance after: 0

Underlying: Common Stock · 1,168.404 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · security: 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.

F2 · kind: 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.

F2 · derivative.expiration_date: 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.

SEC source: 0000101829-03-000338 · dar164.xml · nonDerivative · entry 1

DARNIS GERAUD · CIK 0001184185 · President, Carrier Corporation

10b5-1 filing: Not disclosed

Ownership: Indirect · By Savings Plan Trustee

Disclosed balance after: 2,830.925

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0000101829-03-000339 · dou166.xml · derivative · entry 2

DOUCETTE JOHN J · CIK 0001184186 · Vice President & CIO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Savings Plan Trustee

Disclosed balance after: 0

Underlying: Common Stock · 466.88 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: 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.

F1 · kind: 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.

F1 · derivative.expiration_date: 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.

SEC source: 0000101829-03-000339 · dou166.xml · nonDerivative · entry 1

DOUCETTE JOHN J · CIK 0001184186 · Vice President & CIO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Savings Plan Trustee

Disclosed balance after: 494.92

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0000101829-03-000340 · fin167.xml · derivative · entry 3

FINGER STEPHEN N · CIK 0001252946 · President, Sikorsky Aircraft

10b5-1 filing: Not disclosed

Ownership: Indirect · By Savings Plan Trustee

Disclosed balance after: 0

Underlying: Common Stock · 4,359.88 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · security: 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.

F2 · derivative.expiration_date: 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.

SEC source: 0000101829-03-000340 · fin167.xml · nonDerivative · entry 1

FINGER STEPHEN N · CIK 0001252946 · President, Sikorsky Aircraft

10b5-1 filing: Not disclosed

Ownership: Indirect · By Savings Plan Trustee

Disclosed balance after: 9,584.344

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0000101829-03-000345 · har168.xml · derivative · entry 3

HARKIN RUTH R · CIK 0001184189 · SVP Intl Affairs & Gov't Rltns

10b5-1 filing: Not disclosed

Ownership: Indirect · By Savings Plan Trustee

Disclosed balance after: 0

Underlying: Common Stock · 621.832 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: 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.

F1 · kind: 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.

F1 · derivative.expiration_date: 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.

SEC source: 0000101829-03-000345 · har168.xml · nonDerivative · entry 1

HARKIN RUTH R · CIK 0001184189 · SVP Intl Affairs & Gov't Rltns

10b5-1 filing: Not disclosed

Ownership: Indirect · By Savings Plan Trustee

Disclosed balance after: 621.832

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0000101829-03-000346 · hay169.xml · derivative · entry 2

HAYES GREGORY · CIK 0001225946 · Vice President, Controller

10b5-1 filing: Not disclosed

Ownership: Indirect · By Savings Plan Trustee

Disclosed balance after: 0

Underlying: Common Stock · 413.896 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: 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.

F1 · kind: 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.

F1 · derivative.expiration_date: 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.

SEC source: 0000101829-03-000346 · hay169.xml · nonDerivative · entry 1

HAYES GREGORY · CIK 0001225946 · Vice President, Controller

10b5-1 filing: Not disclosed

Ownership: Indirect · By Savings Plan Trustee

Disclosed balance after: 683.875

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0000101829-03-000347 · kal170.xml · derivative · entry 3

KALLMAN TODD · CIK 0001225308 · VP of Corp. Strategy & Dev.

10b5-1 filing: Not disclosed

Ownership: Indirect · By ESOP

Disclosed balance after: 0

Underlying: Common Stock · 196.488 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · security: 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.

F2 · kind: 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.

F2 · derivative.expiration_date: 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.

SEC source: 0000101829-03-000347 · kal170.xml · nonDerivative · entry 1

KALLMAN TODD · CIK 0001225308 · VP of Corp. Strategy & Dev.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Savings Plan Trustee

Disclosed balance after: 196.488

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0000101829-03-000348 · led171.xml · derivative · entry 3

LEDUC ROBERT F · CIK 0001184190 · EVP & COO, Pratt & Whitney

10b5-1 filing: Not disclosed

Ownership: Indirect · By Savings Plan Trustee

Disclosed balance after: 0

Underlying: Common Stock · 1,161.548 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: 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.

F1 · kind: 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.

F1 · derivative.expiration_date: 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.

SEC source: 0000101829-03-000348 · led171.xml · nonDerivative · entry 1

LEDUC ROBERT F · CIK 0001184190 · EVP & COO, Pratt & Whitney

10b5-1 filing: Not disclosed

Ownership: Indirect · By Savings Plan Trustee

Disclosed balance after: 1,161.548

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0000101829-03-000353 · mck172.xml · derivative · entry 4

MCKENNA RONALD F · CIK 0001017676 · President, Hamilton Sundstrand

10b5-1 filing: Not disclosed

Ownership: Indirect · By Savings Plan Trustee

Disclosed balance after: 0

Underlying: Common Stock · 190.476 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: 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.

F1 · kind: 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.

F1 · derivative.expiration_date: 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.

SEC source: 0000101829-03-000353 · mck172.xml · nonDerivative · entry 1

MCKENNA RONALD F · CIK 0001017676 · President, Hamilton Sundstrand

10b5-1 filing: Not disclosed

Ownership: Indirect · By Savings Plan Trustee

Disclosed balance after: 190.476

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0000101829-03-000354 · pag173.xml · derivative · entry 3

PAGE STEPHEN F · CIK 0001184178 · Director · Vice Chairman & CFO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Savings Plan Trustee

Disclosed balance after: 0

Underlying: Common Stock · 1,996.136 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · security: 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.

F2 · kind: 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.

F2 · derivative.expiration_date: 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.

SEC source: 0000101829-03-000354 · pag173.xml · nonDerivative · entry 1

PAGE STEPHEN F · CIK 0001184178 · Director · Vice Chairman & CFO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Savings Plan Trustee

Disclosed balance after: 1,996.136

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0000101829-03-000355 · rob174.xml · derivative · entry 2

ROBERT OLIVIER J · CIK 0001254826 · President, Chubb PLC

10b5-1 filing: Not disclosed

Ownership: Indirect · By ESOP

Disclosed balance after: 0

Underlying: Common Stock · 217.516 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · security: 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.

F2 · kind: 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.

F2 · derivative.expiration_date: 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.

SEC source: 0000101829-03-000355 · rob174.xml · nonDerivative · entry 1

ROBERT OLIVIER J · CIK 0001254826 · President, Chubb PLC

10b5-1 filing: Not disclosed

Ownership: Indirect · By Savings Plan Trustee

Disclosed balance after: 217.516

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · balance_after: The reporting person also directly owns 2,340 shares of United Technologies Career Restricted Common Stock and 10,000 shares of Restricted Common Stock.

SEC source: 0000101829-03-000358 · dav165.xml · derivative · entry 5

DAVID GEORGE AL · CIK 0001184174 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Savings Plan Trustee

Disclosed balance after: 0

Underlying: Common Stock · 4,635.616 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · security: 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.

F2 · kind: 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.

F2 · derivative.expiration_date: 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.

SEC source: 0000101829-03-000358 · dav165.xml · nonDerivative · entry 4

DAVID GEORGE AL · CIK 0001184174 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Savings Plan Trustee

Disclosed balance after: 4,635.616

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001181431-03-030059 · rrd22330.xml · derivative · entry 3

TRACHSEL WILLIAM H · CIK 0001184193 · SVP, Gen. Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Indirect · By Savings Plan Trustee

Disclosed balance after: 0

Underlying: Common Stock · 5,267.244 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · security: 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.

F2 · derivative.exercise_price: 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.

F2 · kind: 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.

F2 · derivative.expiration_date: 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.

SEC source: 0001181431-03-030059 · rrd22330.xml · nonDerivative · entry 1

TRACHSEL WILLIAM H · CIK 0001184193 · SVP, Gen. Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Indirect · By Savings Plan Trustee

Disclosed balance after: 5,967.534

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0000101829-03-000363 · bor178.xml · derivative · entry 3

BORGMAN DEAN C · CIK 0001013068 · Chairman, Sikorsky Aircraft

10b5-1 filing: Not disclosed

Ownership: Indirect · By Savings Plan Trustee

Disclosed balance after: 0

Underlying: Common Stock · 467.084 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · security: 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.

F3 · derivative.expiration_date: 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.

SEC source: 0000101829-03-000363 · bor178.xml · nonDerivative · entry 1

BORGMAN DEAN C · CIK 0001013068 · Chairman, Sikorsky Aircraft

10b5-1 filing: Not disclosed

Ownership: Indirect · By Savings Plan Trustee

Disclosed balance after: 851.773

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · balance_after: The box to indicate that the reporiting person is no longer subject to Section 16 was inadvertently not checked on the original Form 4. The reporting person's savings plan holdings have been revised to reflect the correct balance.

SEC source: 0000101829-03-000320 · har152.xml · derivative · entry 1

HARKIN RUTH R · CIK 0001184189 · SVP Intl Affairs & Gov't Rltns

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,239.2409

Underlying: Common Stock · 7.8718 shares

Expires not disclosed

F1 · derivative.exercise_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Units are payable in cash following termination of employment, retirement or death.

F1 · derivative.expiration_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Units are payable in cash following termination of employment, retirement or death.

SEC source: 0000101829-03-000311 · har150.xml · derivative · entry 1

HARKIN RUTH R · CIK 0001184189 · SVP Intl Affairs & Gov't Rltns

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,231.3691

Underlying: Common Stock · 7.9649 shares

Expires not disclosed

F1 · derivative.exercise_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Units are payable in cash following termination of employment, retirement or death.

F1 · derivative.expiration_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Units are payable in cash following termination of employment, retirement or death.

SEC source: 0000101829-03-000373 · mcc186.xml · nonDerivative · entry 1

MCCORMICK RICHARD D · CIK 0001017985 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,800

F1 · balance_after: The reporting person also directly owns 1,600 shares of United Technologies Restricted Common Stock.

SEC source: 0000101829-03-000304 · mck149.xml · derivative · entry 5

MCKENNA RONALD F · CIK 0001017676 · President, Hamilton Sundstrand

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,915 shares

Expires 2006-11-19

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0000101829-03-000304 · mck149.xml · nonDerivative · entry 3

MCKENNA RONALD F · CIK 0001017676 · President, Hamilton Sundstrand

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,555.98

SEC source: 0000101829-03-000304 · mck149.xml · nonDerivative · entry 2

MCKENNA RONALD F · CIK 0001017676 · President, Hamilton Sundstrand

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,795.98

SEC source: 0000101829-03-000304 · mck149.xml · nonDerivative · entry 1

MCKENNA RONALD F · CIK 0001017676 · President, Hamilton Sundstrand

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,769.98

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0000101829-03-000302 · har148.xml · derivative · entry 1

HARKIN RUTH R · CIK 0001184189 · SVP Intl Affairs & Gov't Rltns

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,223.4042

Underlying: Common Stock · 8.62 shares

Expires not disclosed

F1 · derivative.exercise_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Units are payable in cash following termination of employment, retirement or death.

F1 · derivative.expiration_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Units are payable in cash following termination of employment, retirement or death.

SEC source: 0000101829-03-000300 · har147.xml · derivative · entry 1

HARKIN RUTH R · CIK 0001184189 · SVP Intl Affairs & Gov't Rltns

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,214.7842

Underlying: Common Stock · 8.525 shares

Expires not disclosed

F1 · derivative.exercise_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Units are payable in cash following termination of employment, retirement or death.

F1 · derivative.expiration_date: Deferred phantom stock units acquired at the election of the executive under the United Technologies Corporation Deferred Compensation Plan, in a transaction exempt under Rule 16b-3. Units are payable in cash following termination of employment, retirement or death.