Filing Details
- Accession Number:
- 0001225208-22-001525
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2022-02-04 20:19:04
- Reporting Period:
- 2022-02-02
- Accepted Time:
- 2022-02-04 20:19:04
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1783180 | Carrier Global Corp | CARR | Air-Cond & Warm Air Heatg Equip & Comm & Indl Refrig Equip (3585) | 834051582 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1807898 | Kyle Crockett | 13995 Pasteur Boulevard Palm Beach Gardens FL 33418 | Vice President, Controller | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2022-02-03 | 5,028 | $0.00 | 5,040 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2022-02-03 | 1,346 | $46.24 | 3,694 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2022-02-04 | 3,682 | $45.73 | 12 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Appreciation Right | Acquisiton | 2022-02-02 | 21,075 | $0.00 | 21,075 | $47.51 |
| Common Stock | Restricted Stock Unit RSU | Disposition | 2022-02-03 | 5,028 | $0.00 | 5,028 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 21,075 | 2025-02-02 | 2032-02-01 | No | 4 | A | Direct |
| 0 | 2022-02-03 | No | 4 | M | Direct |
Footnotes
- Restricted stock units convert into common stock on a one-for-one basis.
- The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 14, 2021.
- The price reported in Column 4 is a weighted average price for the shares sold in multiple transactions. The sale prices range from $45.00 to $46.16 per share. The reporting person has provided to the issuer, and undertakes to provide to the Commission staff or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price within the range.
- The reporting person was also awarded 4,775 Performance Share Units (PSUs) under the Carrier Global Corporation 2020 Long-Term Incentive Plan. Each PSU represents a contingent right to receive one share of Carrier Global Corporation common stock. The PSUs vest on the third anniversary of the grant date contingent upon (a) the reporting person's continued employment and (b) Carrier's achievement of pre-established performance targets for earnings per share growth and total shareowner return relative to a subset of industrial companies in the S&P 500 index over a three-year time period.
- The reporting person was granted these RSUs on February 3, 2020 and are the second of three tranches that vest over a three-year period.
- Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of Carrier Global Corporation common stock. The RSUs vest contingent upon the reporting person's continued employment at the conclusion of the vesting period.
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