<SEC-DOCUMENT>0000898822-14-000456.txt : 20141210
<SEC-HEADER>0000898822-14-000456.hdr.sgml : 20141210
<ACCEPTANCE-DATETIME>20141210170124
ACCESSION NUMBER:		0000898822-14-000456
CONFORMED SUBMISSION TYPE:	8-K
PUBLIC DOCUMENT COUNT:		2
CONFORMED PERIOD OF REPORT:	20141209
ITEM INFORMATION:		Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements of Certain Officers
ITEM INFORMATION:		Financial Statements and Exhibits
FILED AS OF DATE:		20141210
DATE AS OF CHANGE:		20141210

FILER:

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			UNITED TECHNOLOGIES CORP /DE/
		CENTRAL INDEX KEY:			0000101829
		STANDARD INDUSTRIAL CLASSIFICATION:	AIRCRAFT ENGINES & ENGINE PARTS [3724]
		IRS NUMBER:				060570975
		STATE OF INCORPORATION:			DE
		FISCAL YEAR END:			1231

	FILING VALUES:
		FORM TYPE:		8-K
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-00812
		FILM NUMBER:		141278625

	BUSINESS ADDRESS:	
		STREET 1:		UNITED TECHNOLOGIES BLDG
		STREET 2:		ONE FINANCIAL PLZ
		CITY:			HARTFORD
		STATE:			CT
		ZIP:			06101
		BUSINESS PHONE:		8607287000

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	UNITED TECHNOLOGIES MICROELECTRONICS CENTER
		DATE OF NAME CHANGE:	19850825

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	UNITED TECHNOLOGIES CORP
		DATE OF NAME CHANGE:	19841205
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<div style="TEXT-ALIGN: center; FONT-FAMILY: ''Times New Roman'', Times, serif; COLOR: #000000; FONT-SIZE: 18pt; FONT-WEIGHT: bold">UNITED STATES<a name="bm_20141205_Form_8K_Press_Release"><!--Anchor--></a></div>

<div style="TEXT-ALIGN: center; FONT-FAMILY: ''Times New Roman'', Times, serif; COLOR: #000000; FONT-SIZE: 18pt; FONT-WEIGHT: bold">SECURITIES AND EXCHANGE COMMISSION</div>

<div style="TEXT-ALIGN: center; FONT-FAMILY: ''Times New Roman'', Times, serif; COLOR: #000000; FONT-SIZE: 10pt; FONT-WEIGHT: bold">Washington, D.C. 20549</div>

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<div style="TEXT-ALIGN: center; FONT-FAMILY: ''Times New Roman'', Times, serif; COLOR: #000000; FONT-SIZE: 18pt; FONT-WEIGHT: bold">FORM 8-K</div>

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<div style="TEXT-ALIGN: center; FONT-FAMILY: ''Times New Roman'', Times, serif; COLOR: #000000; FONT-SIZE: 14pt; FONT-WEIGHT: bold">CURRENT REPORT</div>

<div style="TEXT-ALIGN: center; FONT-FAMILY: ''Times New Roman'', Times, serif; COLOR: #000000; FONT-SIZE: 10pt; FONT-WEIGHT: bold">Pursuant to Section&#160;13 OR 15(d) of The</div>

<div style="TEXT-ALIGN: center; FONT-FAMILY: ''Times New Roman'', Times, serif; COLOR: #000000; FONT-SIZE: 10pt; FONT-WEIGHT: bold">Securities Exchange Act of 1934</div>

<div style="TEXT-ALIGN: center; FONT-FAMILY: ''Times New Roman'', Times, serif; COLOR: #000000; FONT-SIZE: 10pt; FONT-WEIGHT: bold">Date of Report (Date of earliest event reported): December 9, 2014</div>

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<div style="TEXT-ALIGN: center; FONT-FAMILY: Times New Roman; COLOR: #000000; FONT-SIZE: 24pt; FONT-WEIGHT: bold">UNITED TECHNOLOGIES CORPORATION</div>

<div style="TEXT-ALIGN: center; FONT-FAMILY: ''Times New Roman'', Times, serif; COLOR: #000000; FONT-SIZE: 10pt; FONT-WEIGHT: bold">(Exact name of registrant as specified in its charter)</div>

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<div style="TEXT-ALIGN: center; FONT-FAMILY: ''Times New Roman'', Times, serif; COLOR: #000000; FONT-SIZE: 10pt; FONT-WEIGHT: bold">One Financial Plaza</div>

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<div style="TEXT-ALIGN: center; FONT-FAMILY: ''Times New Roman'', Times, serif; COLOR: #000000; FONT-SIZE: 10pt; FONT-WEIGHT: bold">(Address of principal executive offices, including zip code)</div>

<div style="TEXT-ALIGN: center; FONT-FAMILY: ''Times New Roman'', Times, serif; COLOR: #000000; FONT-SIZE: 10pt; FONT-WEIGHT: bold">Registrant's telephone number, including area code</div>

<div style="TEXT-ALIGN: center; FONT-FAMILY: ''Times New Roman'', Times, serif; COLOR: #000000; FONT-SIZE: 10pt; FONT-WEIGHT: bold">(860) 728-7000</div>

<div style="TEXT-ALIGN: center; FONT-FAMILY: ''Times New Roman'', Times, serif; COLOR: #000000; FONT-SIZE: 10pt; FONT-WEIGHT: bold">N/A</div>

<div style="TEXT-ALIGN: center; FONT-FAMILY: ''Times New Roman'', Times, serif; COLOR: #000000; FONT-SIZE: 10pt; FONT-WEIGHT: bold">(Former name or former address, if changed since last report)</div>

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<div style="TEXT-ALIGN: left; FONT-FAMILY: ''Times New Roman'', Times, serif; COLOR: #000000; FONT-SIZE: 10pt">Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:</div>

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<div style="TEXT-ALIGN: left; FONT-FAMILY: ''Times New Roman'', Times, serif; COLOR: #000000; FONT-SIZE: 10pt">[ ] Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)</div>

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<div style="TEXT-ALIGN: left; FONT-FAMILY: ''Times New Roman'', Times, serif; COLOR: #000000; FONT-SIZE: 10pt">[ ] Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)</div>

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<div style="TEXT-ALIGN: left; FONT-FAMILY: ''Times New Roman'', Times, serif; COLOR: #000000; FONT-SIZE: 10pt">[ ] Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))</div>

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<div style="TEXT-ALIGN: left; FONT-FAMILY: ''Times New Roman'', Times, serif; MARGIN-BOTTOM: 6pt; COLOR: #000000; FONT-SIZE: 10pt">[ ] Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))</div>

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<font style="FONT-WEIGHT: bold">Section 5 &#8211; Corporate Governance and Management</font></div>

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<div style="TEXT-ALIGN: left; FONT-FAMILY: ''Times New Roman'', Times, serif; COLOR: #000000; FONT-SIZE: 10pt; FONT-WEIGHT: bold">Item 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers</div>

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<div style="TEXT-ALIGN: left; FONT-FAMILY: ''Times New Roman'', Times, serif; COLOR: #000000; FONT-SIZE: 10pt">On December 9, 2014, United Technologies Corporation (the "Company") announced the appointment of Akhil Johri, age 53, to serve as the Company's Senior Vice President and Chief Financial Officer ("CFO"), effective January 1, 2015.&#160; Mr. Johri will also serve as the Company's principal financial officer and principal accounting officer.</div>

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<div style="TEXT-ALIGN: left; FONT-FAMILY: ''Times New Roman'', Times, serif; COLOR: #000000; FONT-SIZE: 10pt">Mr. Johri currently serves as Chief Financial Officer of Pall Corporation.&#160; He has served in that role since May 1, 2013.&#160; Prior to that, Mr. Johri held various executive positions of increasing responsibility during his 26-year tenure with the Company, most recently serving as Vice President of Finance and Chief Financial Officer of UTC Propulsion &amp; Aerospace Systems from October 2011 to April 2013 and as Vice President Financial Planning and Investor Relations from May 2009 to September 2011.</div>

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<div style="TEXT-ALIGN: left; FONT-FAMILY: ''Times New Roman'', Times, serif; COLOR: #000000; FONT-SIZE: 10pt">Mr. Johri's compensation arrangements as CFO will include a base annual salary of $700,000 and an annual bonus target of 100% of base salary (consistent with the established target for the CFO position). Additionally, effective January 2, 2015, Mr. Johri will be awarded grants of approximately 137,000 stock appreciation rights ("SARs") and 49,600 restricted stock units ("RSUs") under the Company's Long-Term Incentive Plan. The foregoing award amounts are based on a Company share price of $113.00.&#160; The number of SARs and RSUs will be adjusted to an equivalent grant date value based on the difference between $113 and the actual closing price of Company shares on January 2, 2015.&#160; The SARs will have a 10-year term, and vest after three years of continued employment with the Company.&#160; The RSUs will also be subject to a three year vesting period.&#160; Neither award is subject to forfeiture in the event of death, disability or termination by the Company without cause.&#160; Mr Johri will also receive a cash payment of $515,000 upon the commencement of his employment.&#160; This payment, along with the SAR and RSU awards, are designed to replace the value of awards Mr. Johri will forfeit upon his departure from Pall Corporation.&#160;&#160; Mr. Johri will participate in the Company's other standard employee benefit and executive compensation programs.</div>

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<div style="TEXT-ALIGN: left; FONT-FAMILY: ''Times New Roman'', Times, serif; COLOR: #000000; FONT-SIZE: 10pt">Upon the effective date of Mr. Johri's appointment, Peter F. Longo, currently Acting Chief Financial Officer of the Company, will resume his prior position as Vice President, Finance &amp; Chief Financial Officer, UTC Propulsion &amp; Aerospace System.</div>

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<div style="TEXT-ALIGN: left; FONT-FAMILY: ''Times New Roman'', Times, serif; COLOR: #000000; FONT-SIZE: 10pt">In connection with the foregoing, the Company issued a press release which is filed as Exhibit 99.1 hereto and incorporated herein by reference.</div>

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<div style="TEXT-ALIGN: left; FONT-FAMILY: ''Times New Roman'', Times, serif; COLOR: #000000; FONT-SIZE: 10pt; FONT-WEIGHT: bold">Section 9 &#8211; Financial Statements and Exhibits</div>

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<div style="TEXT-ALIGN: left; FONT-FAMILY: ''Times New Roman'', Times, serif; COLOR: #000000; FONT-SIZE: 10pt; FONT-WEIGHT: bold">Item 9.01 Financial Statements and Exhibits.</div>

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<div style="TEXT-ALIGN: left"><font style="FONT-FAMILY: ''Times New Roman'', Times, serif; COLOR: #000000; FONT-SIZE: 10pt">(d)</font><font style="FONT-SIZE: 5.14pt" id="TRGRRTFtoHTMLTab">&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;</font><font style="FONT-FAMILY: ''Times New Roman'', Times, serif; COLOR: #000000; FONT-SIZE: 10pt">The following exhibit is filed as part of this report.</font></div>

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<div style="TEXT-ALIGN: left; FONT-FAMILY: ''Times New Roman'', Times, serif; COLOR: #000000; FONT-SIZE: 10pt">Press release, dated December 9, 2014, issued by United Technologies Corporation.</div>

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<div style="TEXT-ALIGN: center; FONT-FAMILY: ''Times New Roman'', Times, serif; COLOR: #000000; FONT-SIZE: 10pt; FONT-WEIGHT: bold">SIGNATURES</div>

<div style="TEXT-ALIGN: left; MARGIN-TOP: 6pt; TEXT-INDENT: 24pt; FONT-FAMILY: ''Times New Roman'', Times, serif; COLOR: #000000; FONT-SIZE: 10pt">Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.</div>

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<div style="TEXT-ALIGN: left; FONT-FAMILY: ''Times New Roman'', Times, serif; COLOR: #000000; FONT-SIZE: 10pt; FONT-WEIGHT: bold">UNITED TECHNOLOGIES CORPORATION</div>
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<div style="TEXT-ALIGN: left; FONT-FAMILY: ''Times New Roman'', Times, serif; COLOR: #000000; FONT-SIZE: 10pt">Date: December 10, 2014</div>
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<div style="TEXT-ALIGN: left; FONT-FAMILY: ''Times New Roman'', Times, serif; COLOR: #000000; FONT-SIZE: 10pt">/s/ PETER J. GRABER-LIPPERMAN</div>
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<div style="TEXT-ALIGN: left; FONT-FAMILY: ''Times New Roman'', Times, serif; COLOR: #000000; FONT-SIZE: 10pt">Peter J. Graber-Lipperman</div>
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<div style="TEXT-ALIGN: left; FONT-FAMILY: ''Times New Roman'', Times, serif; COLOR: #000000; FONT-SIZE: 10pt">Vice President, Secretary and Associate General Counsel</div>
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<div style="TEXT-ALIGN: left; FONT-FAMILY: ''Times New Roman'', Times, serif; COLOR: #000000; FONT-SIZE: 10pt; FONT-WEIGHT: bold">EXHIBIT INDEX</div>

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<div style="TEXT-ALIGN: left; FONT-FAMILY: ''Times New Roman'', Times, serif; COLOR: #000000; FONT-SIZE: 10pt">99.1</div>
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<div style="TEXT-ALIGN: left; FONT-FAMILY: ''Times New Roman'', Times, serif; COLOR: #000000; FONT-SIZE: 10pt">Press release, dated December 9, 2014, issued by United Technologies Corporation.</div>
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<div style="TEXT-ALIGN: center; FONT-FAMILY: ''Times New Roman'', Times, serif; COLOR: #000000; FONT-SIZE: 10pt; FONT-WEIGHT: bold">UNITED TECHNOLOGIES APPOINTS AKHIL JOHRI CHIEF FINANCIAL OFFICER</div>

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<div style="TEXT-ALIGN: left; TEXT-INDENT: 36pt; FONT-FAMILY: ''Times New Roman'', Times, serif; COLOR: #000000; FONT-SIZE: 10pt">HARTFORD, Conn., Dec. 9, 2014 &#8211; United Technologies Corp. (NYSE: UTX) today announced the appointment of Akhil Johri as the corporation's Senior Vice President and Chief Financial Officer, effective January 1, 2015.</div>

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<div style="TEXT-ALIGN: left; TEXT-INDENT: 36pt; FONT-FAMILY: ''Times New Roman'', Times, serif; COLOR: #000000; FONT-SIZE: 10pt">Johri, 53, will have global responsibility for UTC's Finance function and for financial communications and investor relations. He will report to UTC President and Chief Executive Officer Gregory J. Hayes.</div>

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<div style="TEXT-ALIGN: left; TEXT-INDENT: 36pt; FONT-FAMILY: ''Times New Roman'', Times, serif; COLOR: #000000; FONT-SIZE: 10pt">Johri returns to UTC after serving as Chief Financial Officer for Port Washington, N.Y.-based, publicly traded Pall Corporation, a leader in filtration, separation and purification solutions for customers across a broad spectrum in life sciences and industry.</div>

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<div style="TEXT-ALIGN: left; TEXT-INDENT: 36pt; FONT-FAMILY: ''Times New Roman'', Times, serif; COLOR: #000000; FONT-SIZE: 10pt">Prior to joining Pall Corporation, Johri enjoyed a 26-year career at UTC in various executive positions of increasing responsibility. His most recent role was Vice President of Finance and Chief Financial Officer for UTC Propulsion &amp; Aerospace Systems, which includes Pratt &amp; Whitney and UTC Aerospace Systems. Before that, he led UTC's Investor Relations and Financial Planning &amp; Analysis groups. Johri also had senior financial roles at UTC Fire and Security, and Carrier Corporation, including 12 years in the Asia Pacific region.</div>

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<div style="TEXT-ALIGN: left; TEXT-INDENT: 36pt; FONT-FAMILY: ''Times New Roman'', Times, serif; COLOR: #000000; FONT-SIZE: 10pt">"I am thrilled to welcome Akhil back to UTC, where he is highly respected for his strategic insights, financial skills, and his ability to communicate effectively with Wall Street and our shareholder community," Hayes said. "We look forward to Akhil's leadership as we continue to focus on creating innovative products and solutions for our global customers and delivering best-in-class returns for our shareowners."</div>

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<div style="TEXT-ALIGN: left; TEXT-INDENT: 36pt; FONT-FAMILY: ''Times New Roman'', Times, serif; COLOR: #000000; FONT-SIZE: 10pt">Johri is a graduate of the Indian Institute of Management, Ahmedabad, and is a Chartered Accountant.</div>

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<div style="TEXT-ALIGN: left; TEXT-INDENT: 36pt; FONT-FAMILY: ''Times New Roman'', Times, serif; COLOR: #000000; FONT-SIZE: 10pt">Upon the effective date of Johri's appointment, Peter F. Longo, currently the corporation's Acting Chief Financial Officer, will resume his prior position as Vice President, Finance &amp; Chief Financial Officer, UTC Propulsion &amp; Aerospace Systems.</div>

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<div style="TEXT-ALIGN: left; TEXT-INDENT: 36pt; FONT-FAMILY: ''Times New Roman'', Times, serif; COLOR: #000000; FONT-SIZE: 10pt">United Technologies, based in Hartford, Connecticut, provides high technology products and services to the building and aerospace industries. For more information, visit our website at www.utc.com or follow us on Twitter: @UTC.</div>

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