TAUNUS CORPORATION
31 West 52nd Street
New York, New York 10019
Linda L. Assali
Director
Telephone: (615) 835-2901
February 8, 2000
Securities and Exchange Commission
SEC Document Control
450 Fifth Street, N.W.
Washington, DC 20549
Attn: Filing Desk
Dear Sirs:
Re: Filing of Schedule 13G on
United Technologies Corporation
Pursuant to Rule 13d-1 of the General Rules and Regulations under
the Securities Exchange Act of 1934, the following is one copy of
the Schedule 13G with respect to the common stock of the above
referenced corporation.
Please acknowledge your receipt of the Schedule 13G filing
submission through the EDGAR-Link System software, by E-Mail
confirmation.
Sincerely,
Linda L. Assali
Enclosures
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No.8)
United Technologies Corporation
_______________________________________
NAME OF ISSUER:
Common Stock (Par Value $ 5.00)
_______________________________________
TITLE OF CLASS OF SECURITIES
913017109
_______________________________________
CUSIP NUMBER
December 31, 1999
_______________________________________
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to
which this Schedule is filed:
[X] Rule 13d-I(b)
[ ] Rule 13d-I(c)
[ ] Rule 13d-I(d)
1.NAME OF REPORTING PERSONS
S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Bankers Trust Corporation
2.CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP *
(A) [ ]
(B) [ ]
3.SEC USE ONLY
4.CITIZENSHIP OR PLACE OF ORGANIZATION
New York
NUMBER OF 5. SOLE VOTING POWER
SHARES
BENEFICIALLY 6. SHARED VOTING POWER
OWNED BY
EACH 7. SOLE DISPOSITIVE POWER
REPORTING
PERSON WITH 8. SHARED DISPOSITIVE POWER
9.AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
10.CHECK BOX IF THE AGGREGATE AMOUNT IN ROW(9) EXCLUDES CERTAIN
SHARES *
[]
11.PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
12.TYPE OF REPORTING PERSON
HC
1.NAME OF REPORTING PERSONS
S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Bankers Trust Company
2.CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP *
(A) [ ]
(B) [X]
3.SEC USE ONLY
4.CITIZENSHIP OR PLACE OF ORGANIZATION
New York
NUMBER OF 5. SOLE VOTING POWER
SHARES
BENEFICIALLY 6. SHARED VOTING POWER
OWNED BY
EACH 7. SOLE DISPOSITIVE POWER
REPORTING
PERSON WITH 8. SHARED DISPOSITIVE POWER
9.AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
10.CHECK BOX IF THE AGGREGATE AMOUNT IN ROW(9) EXCLUDES CERTAIN
SHARES [ ]
11.PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
12.TYPE OF REPORTING PERSON
BK
1.NAME OF REPORTING PERSONS
S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
DB Alex.Brown LLC (formerly known as BT Alex.Brown
Incorporated)
2.CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP *
(A) [ ]
(B) [X]
3.SEC USE ONLY
4.CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
NUMBER OF 5. SOLE VOTING POWER
SHARES
BENEFICIALLY 6. SHARED VOTING POWER
OWNED BY
EACH 7. SOLE DISPOSITIVE POWER
REPORTING
PERSON WITH 8. SHARED DISPOSITIVE POWER
9.AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
10.CHECK BOX IF THE AGGREGATE AMOUNT IN ROW(9) EXCLUDES CERTAIN
SHARES *
[]
11.PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
12.TYPE OF REPORTING PERSON
BD
1.NAME OF REPORTING PERSONS
S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Alex.Brown Investment Management
2.CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP *
(A) [ ]
(C) [ ]
3.SEC USE ONLY
4.CITIZENSHIP OR PLACE OF ORGANIZATION
Maryland
NUMBER OF 5. SOLE VOTING POWER
SHARES
BENEFICIALLY 6. SHARED VOTING POWER
OWNED BY
EACH 7. SOLE DISPOSITIVE POWER
REPORTING
PERSON WITH 8. SHARED DISPOSITIVE POWER
9.AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
10.CHECK BOX IF THE AGGREGATE AMOUNT IN ROW(9) EXCLUDES CERTAIN
SHARES *
[]
11.PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
12.TYPE OF REPORTING PERSON
IA,PN
1.NAME OF REPORTING PERSONS
S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
BT Australia Limited
2.CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP *
(A) [ ]
(D) [ ]
3.SEC USE ONLY
4.CITIZENSHIP OR PLACE OF ORGANIZATION
Australia
NUMBER OF 5. SOLE VOTING POWER
SHARES
BENEFICIALLY 6. SHARED VOTING POWER
OWNED BY
EACH 7. SOLE DISPOSITIVE POWER
REPORTING
PERSON WITH 8. SHARED DISPOSITIVE POWER
9.AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
10.CHECK BOX IF THE AGGREGATE AMOUNT IN ROW(9) EXCLUDES CERTAIN
SHARES *
[]
11.PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
12.TYPE OF REPORTING PERSON
CO
1.NAME OF REPORTING PERSONS
S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Bankers Trust Holdings (UK) Limited(BT Holdings (UK),Ltd.)
2.CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP *
(A) [ ]
(B) [X]
3.SEC USE ONLY
4.CITIZENSHIP OR PLACE OF ORGANIZATION
United Kingdom
NUMBER OF 5. SOLE VOTING POWER
SHARES
BENEFICIALLY 6. SHARED VOTING POWER
OWNED BY
EACH 7. SOLE DISPOSITIVE POWER
REPORTING
PERSON WITH 8. SHARED DISPOSITIVE POWER
9.AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
10.CHECK BOX IF THE AGGREGATE AMOUNT IN ROW(9) EXCLUDES CERTAIN
SHARES *
[]
11.PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
12.TYPE OF REPORTING PERSON
CO
Item 1(a). Name of Issuer:
United Technologies Corp. (the Issuer)
Item 1(b). Address of Issuer's Principal Executive Offices:
The address of the Issuer's principal executive offices
is United Technologies Building, Hartford, CT 06101-
2670.
Item 2(a). Name of Person Filing:
This statement is filed on behalf of Bankers Trust
Corporation (BTCorp) , Bankers Trust Company
(BTCo), DB Alex.Brown LLC (ABS), BT Australia
Limited (BTAUST), BT Holdings (UK) (BTHUK) and
Alex.Brown Investment Management(ABIM) (BTCorp ,
BTCo, ABS, BTAUST, BTHUK and ABIM together, the
Reporting Persons).
Item 2(b). Address of Principal Business Office or, if none,
Residence:
The principal place of business of BTCorp,
BTCo and ABS is 130 Liberty Street, New York,
New York, 10006.
The principal place of business of BTAUST is
Level 15, The Chifley Tower, 2 Chifley
Square, Sydney, NSW 2000 Australia
The principal place of business of ABIM is
One South Street, Baltimore, Maryland 21202.
The principal place of business of BTHUK is
One Appold Street, Broadgate, London, United
Kingdom
Item 2(c). Citizenship:
The citizenship of each of the Reporting Persons
is set forth on the applicable cover page.
Item 2(d). Title of Class of Securities:
The title of the securities is common stock (the
Common Stock).
Item 2(e). CUSIP Number:
The CUSIP number of the Common Stock is set forth on
each cover page.
Item 3. If this statement is filed pursuant to Rules 13d-1(b),
or 13d-2(b) or (c), check whether the person filing is
a:
A. Bankers Trust Corporation:
(a) [ ] Broker or dealer registered under
section 15 of the Act;
(b) [ ] Bank as defined in section 3(a)(6) of
the Act;
(c) [ ] Insurance Company as defined in
section 3(a)(19) of the Act;
(d) [ ] Investment Company registered under
section 8 of the Investment Company Act of 1940;
(e) [ ] An investment adviser in accordance with
Rule 13d-1 (b)(1)(ii)(E);
(f) [ ] An employee benefit plan, or endowment
fund in accordance with Rule 13d-1 (b)(1)(ii)(F);
(g) [X] A parent holding company or control
person in accordance with Rule 13d-1 (b)(1)(ii)(G);
(h) [ ] A savings association as defined in
section 3(b) of the Federal Deposit Insurance Act;
(i) [ ] A church plan that is excluded from the
definition of an investment company under section
3(c)(14) of the Investment Company Act of 1940;
(j) [ ] Group, in accordance with Rule 13d-1
(b)(1)(ii)(J).
If this statement is filed pursuant to Rule 13d-1 (c),
check this box. [ ]
B. Bankers Trust Company:
(a) [ ] Broker or dealer registered under
section 15 of the Act;
(b) [X] Bank as defined in section 3(a)(6) of the
Act;
(c) [ ] Insurance Company as defined in
section 3(a)(19) of the Act;
(d) [ ] Investment Company registered under
section 8 of the Investment Company Act of 1940;
(e) [ ] An investment adviser in accordance with
Rule 13d-1 (b)(1)(ii)(E);
(f) [ ] An employee benefit plan, or endowment
fund in accordance with Rule 13d-1 (b)(1)(ii)(F);
(g) [ ] A parent holding company or control
person in accordance with Rule 13d-1 (b)(1)(ii)(G);
(h) [ ] A savings association as defined in
section 3(b) of the Federal Deposit Insurance Act;
(i) [ ] A church plan that is excluded from the
definition of an investment company under section
3(c)(14) of the Investment Company Act of 1940;
(j) [ ] Group, in accordance with Rule 13d-1
(b)(1)(ii)(J).
If this statement is filed pursuant to Rule 13d-1 (c),
check this box. [ ]
C. DB Alex.Brown LLC:
(a) [X] Broker or dealer registered under section
15 of the Act;
(b) [ ] Bank as defined in section 3(a)(6) of
the Act;
(c) [ ] Insurance Company as defined in
section 3(a)(19) of the Act;
(d) [ ] Investment Company registered under
section 8 of the Investment Company Act of 1940;
(e) [ ] An investment adviser in accordance with
Rule 13d-1 (b)(1)(ii)(E);
(f) [ ] An employee benefit plan, or endowment
fund in accordance with Rule 13d-1 (b)(1)(ii)(F);
(g) [ ] A parent holding company or control
person in accordance with Rule 13d-1 (b)(1)(ii)(G);
(h) [ ] A savings association as defined in
section 3(b) of the Federal Deposit Insurance Act;
(i) [ ] A church plan that is excluded from the
definition of an investment company under section
3(c)(14) of the Investment Company Act of 1940;
(j) [ ] Group, in accordance with Rule 13d-1
(b)(1)(ii)(J).
If this statement is filed pursuant to Rule 13d-1 (c),
check this box. [ ]
D. BT Australia Limited:
BT Australia Limited is a corporation
permitted to report on Schedule 13G in accordance
with Securities and Exchange Commission no-action
letter to Bankers Trust New York Corporation dated
May 15, 1990 (avail. May 15, 1990).
E. Alex.Brown Investment Management:
(a) [ ] Broker or dealer registered under
section 15 of the Act;
(b) [ ] Bank as defined in section 3(a)(6) of
the Act;
(c) [ ] Insurance Company as defined in
section 3(a)(19) of the Act;
(d) [ ] Investment Company registered under
section 8 of the Investment Company Act of 1940;
(e) [X] An investment adviser in accordance with
Rule 13d-1 (b)(1)(ii)(E);
(f) [ ] An employee benefit plan, or endowment
fund in accordance with Rule 13d-1 (b)(1)(ii)(F);
(g) [ ] A parent holding company or control
person in accordance with Rule 13d-1 (b)(1)(ii)(G);
(h) [ ] A savings association as defined in
section 3(b) of the Federal Deposit Insurance Act;
(i) [ ] A church plan that is excluded from the
definition of an investment company under section
3(c)(14) of the Investment Company Act of 1940;
(j) [ ] Group, in accordance with Rule 13d-1
(b)(1)(ii)(J).
If this statement is filed pursuant to Rule 13d-1 (c),
check this box. [ ]
Item 4. Ownership.
(a) Amount beneficially owned:
(i) Each of the Reporting Persons
owns the amount of the Common Stock as set
forth on the applicable cover page.
(b) Percent of class:
Each of the Reporting Persons owns the
percentage of the Common Stock as set forth on
the applicable cover page.
(c) Number of shares as to which such person has:
(i) sole power to vote or to direct the vote:
(ii) shared power to vote or to direct the vote:
(iii) sole power to dispose or to direct the
disposition of:
(iv) shared power to dispose or to direct the
disposition of:
Item 5. Ownership of Five Percent or Less of a Class.
If this statement is being filed to report the fact
that as of the date hereof the reporting person has ceased
to be the beneficial owner of more than five percent of the
class of securities, check the following [X].
Item 6. Ownership of More than Five Percent on Behalf of
Another Person.
Not applicable.
Item 7. Identification and Classification of the Subsidiary
Which Acquired the Security Being Reported on by the
Parent Holding Company.
Not applicable
Item 8. Identification and Classification of Members of the
Group.
Not applicable.
Item 9. Notice of Dissolution of Group.
Not applicable.
Item 10. Certification.
By signing below I certify that, to the best of my
knowledge and belief, the securities referred to above were
acquired and are held in the ordinary course of business and were
not acquired and are not held for the purpose of or with the
effect of changing or influencing the control of the issuer of
the securities and were not acquired and are not held in
connection with or as a participant in any transaction having
that purpose or effect.
SIGNATURE
After reasonable inquiry and to the best of my
knowledge and belief, I certify that the information set forth in
this statement is true, complete and correct.
Dated: February 8, 2000
TAUNUS CORPORATION
By: /s/ David
Mellgard
Name: David Mellgard
Title: Secretary
Consent of Bankers Trust Company
The undersigned agrees that the Schedule 13G executed
by Taunus Corporation to which this statement is attached as an
exhibit is filed on behalf of Taunus Corporation and Bankers
Trust Company pursuant to Rule 13d-1(k)(1) of the Securities
Exchange Act of 1934.
Dated: February 8, 2000
BANKERS TRUST COMPANY
By: /s/ James T. Byrne, Jr.
Name: James T. Byrne, Jr.
Title: Secretary
Consent of DB Alex.Brown LLC
The undersigned agrees that the Schedule 13G executed
by Bankers Trust Corporation to which this statement is attached
as an exhibit is filed on behalf of Bankers Trust Corporation and
DB Alex.Brown LLC pursuant to Rule 13d-1(k)(1) of the Securities
Exchange Act of 1934.
Dated: February 8, 2000
DB ALEX.BROWN LLC
By: /s/ James T. Byrne, Jr.
Name: James T. Byrne, Jr.
Title: Secretary
Consent of BT Australia Limited
The undersigned agrees that the Schedule 13G executed
by Bankers Trust Corporation to which this statement is attached
as an exhibit is filed on behalf of Bankers Trust Corporation and
BT Australia Limited pursuant to Rule 13d-1(k)(1) of the
Securities Exchange Act of 1934.
Dated: February 8, 2000
BT AUSTRALIA LIMITED
By: /s/ Cameron Ross Paterson
Name: Cameron Ross Paterson
Title:Secretary
Consent of Alex.Brown Investment Management
The undersigned agrees that the Schedule 13G executed
by Bankers Trust Corporation to which this statement is attached
as an exhibit is filed on behalf of Bankers Trust Corporation and
Alex.Brown Investment Management pursuant to Rule 13d-1(k)(1) of
the Securities Exchange Act of 1934.
Dated: February 8, 2000
ALEX.BROWN INVESTMENT MANAGEMENT
By: /s/ J. Dorsey Brown, III
Name: J. Dorsey Brown, III
Title:Chief Executive Officer
Consent of Bankers Trust Holdings (UK) Limited
The undersigned agrees that the Schedule 13G executed
by Bankers Trust Corporation to which this statement is attached
as an exhibit is filed on behalf of Bankers Trust Corporation and
Bankers Trust Holdings (UK) Limited pursuant to Rule 13d-1(k)(1)
of the Securities Exchange Act of 1934.
Dated: February 8, 2000
BANKERS TRUST HOLDING (UK)
LIMITED
By: /s/ Diarmuid Cummins
Name: Diarmuid Cummins
Title: Secretary-Treasurer
