RTX Corp — Director's Dealing 2003

Feb 14, 2003

5 1 rmckenna123102.htm SEC Form 5

FORM 5 [ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). [ ]Form 3 Holdings Reported [ ]Form 4 Transactions Reported UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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 OMB APPROVAL OMB Number: 3235-0362 Expires: January 31, 2005 Estimated average burden hours per response. . . . . 0.5

1. Name and Address of Reporting Person * McKenna, Ronald F. (Last) (First) (Middle) United Technologies Corporation One Financial Plaza (Street) Hartford, CT 06101 (City) (State) (Zip) 2. Issuer Name and Ticker or Trading Symbol United Technologies Corporation UTX 3. I.R.S. Identification Number of Reporting Person, if an entity (voluntary) 4. Statement for (Month/Year) December 2002 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) Director 10% Owner X Officer Other Officer/Other Description President, Hamilton Sundstrand Corporation 7. Individual or Joint/Group Filing (Check Applicable Line) X Individual Filing Joint/Group Filing

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned

1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	3. Transaction Code (Instr. 8)	4. Securities Acquired (A) or Disposed (D) Of (Instr. 3, 4, and 5) Amount | A/D | Price	5. Amount of Securities Beneficially Owned at End of Issuer's Fiscal Year (Instr. 3 and 4)	6. Owner- ship Form: Direct(D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock	12/31/2002	J	41.450(1) | A |	4,169.180	I	By Savings Plan Trustee
Common Stock				10,331.760	D
Common Stock				20,055.000	I	By Spouse

If the form is filed by more than one reporting person, see instruction 4(b)(v). (over) SEC 2270 (3-99)

McKenna, Ronald F. - December 2002

Form 5 (continued)

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)

1. Title of Derivative Security (Instr. 3)	2. Conver- sion or Exercise Price of Deri- vative Security	3. Transaction Date (Month/ Day/ Year)	4. Transaction Code	5. Number of Derivative Securities Acquired (A) or Disposed (D) Of (Instr. 3,4 and 5)	6. Date Exercisable(DE) and Expiration Date(ED) (Month/Day/Year) (DE) | (ED)	7. Title and Amount of Underlying Securities (Instr. 3 and 4)	9. Number of Derivative Securities Beneficially Owned at End of Year (Instr.4)	10. Owner- ship Form of Deriv- ative Security: Direct (D) or Indirect (I)	11. Nature of Indirect Beneficial Ownership (Instr.4)
ESOP Series A Convertible Preferred Stock	$0.0000	12/31/2002	J	(A) 9.710 (2)		Common Stock - 38.840	18.630	I	By Savings Plan Trustee
Non-Qualified Stock Option (right to buy)	$64.3400	01/02/2002	A	(A) 70,000.000	01/02/2005 | 01/01/2012	Common Stock - 70,000.000	70,000.000	D

Explanation of Responses :

** 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. By: By: Charles F. Hildebrand, Attorney-in-Fact _____ ___ ** Signature of Reporting Person Date Power of Attorney Page 2 SEC 2270 (3-99)

McKenna, Ronald F. - December 2002

Form 5 (continued)

FOOTNOTE Descriptions for United Technologies Corporation UTX Form 5 - December 2002 Ronald F. McKenna United Technologies Corporation One Financial Plaza Hartford, CT 06101 Explanation of responses: (1) These shares were acquired during the year at a range of market prices. The shares are held by the Plan Trustee in the Common Stock Fund of the United Technologies Corporation Employee Savings Plan, a 401(k) plan. Shares held reflect information provided by the Plan Trustee as of 12/31/02. (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.

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