CARR

SEC source: 0001225208-21-006867 · doc4.xml · derivative · entry 1

MCNAMARA MICHAEL M · CIK 0001261031 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,788.9535

Underlying: Common Stock · 4,444.951 shares

Expires not disclosed

F1 · derivative.exercise_price: The reporting person acquired these stock units under the Carrier Global Corporation Board of Directors Deferred Stock Unit Plan (the Plan) in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in Deferred Stock Units (DSUs). Upon resignation, removal, or retirement from the Board, the DSUs in the director's account under the Plan, including accrued dividend equivalents, are converted into an equal number of shares of Carrier common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

F1 · derivative.exercise_date: The reporting person acquired these stock units under the Carrier Global Corporation Board of Directors Deferred Stock Unit Plan (the Plan) in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in Deferred Stock Units (DSUs). Upon resignation, removal, or retirement from the Board, the DSUs in the director's account under the Plan, including accrued dividend equivalents, are converted into an equal number of shares of Carrier common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

F1 · derivative.expiration_date: The reporting person acquired these stock units under the Carrier Global Corporation Board of Directors Deferred Stock Unit Plan (the Plan) in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in Deferred Stock Units (DSUs). Upon resignation, removal, or retirement from the Board, the DSUs in the director's account under the Plan, including accrued dividend equivalents, are converted into an equal number of shares of Carrier common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

SEC source: 0001225208-21-006866 · doc4.xml · derivative · entry 1

TODMAN MICHAEL · CIK 0001224298 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,788.9535

Underlying: Common Stock · 4,444.951 shares

Expires not disclosed

F1 · derivative.exercise_price: The reporting person acquired these stock units under the Carrier Global Corporation Board of Directors Deferred Stock Unit Plan (the Plan) in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in Deferred Stock Units (DSUs). Upon resignation, removal, or retirement from the Board, the DSUs in the director's account under the Plan, including accrued dividend equivalents, are converted into an equal number of shares of Carrier common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

F1 · derivative.exercise_date: The reporting person acquired these stock units under the Carrier Global Corporation Board of Directors Deferred Stock Unit Plan (the Plan) in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in Deferred Stock Units (DSUs). Upon resignation, removal, or retirement from the Board, the DSUs in the director's account under the Plan, including accrued dividend equivalents, are converted into an equal number of shares of Carrier common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

F1 · derivative.expiration_date: The reporting person acquired these stock units under the Carrier Global Corporation Board of Directors Deferred Stock Unit Plan (the Plan) in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in Deferred Stock Units (DSUs). Upon resignation, removal, or retirement from the Board, the DSUs in the director's account under the Plan, including accrued dividend equivalents, are converted into an equal number of shares of Carrier common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

SEC source: 0001225208-21-006865 · doc4.xml · derivative · entry 1

WILSON VIRGINIA M · CIK 0001262696 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,788.9535

Underlying: Common Stock · 4,444.951 shares

Expires not disclosed

F1 · derivative.exercise_price: The reporting person acquired these stock units under the Carrier Global Corporation Board of Directors Deferred Stock Unit Plan (the Plan) in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in Deferred Stock Units (DSUs). Upon resignation, removal, or retirement from the Board, the DSUs in the director's account under the Plan, including accrued dividend equivalents, are converted into an equal number of shares of Carrier common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

F1 · derivative.exercise_date: The reporting person acquired these stock units under the Carrier Global Corporation Board of Directors Deferred Stock Unit Plan (the Plan) in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in Deferred Stock Units (DSUs). Upon resignation, removal, or retirement from the Board, the DSUs in the director's account under the Plan, including accrued dividend equivalents, are converted into an equal number of shares of Carrier common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

F1 · derivative.expiration_date: The reporting person acquired these stock units under the Carrier Global Corporation Board of Directors Deferred Stock Unit Plan (the Plan) in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in Deferred Stock Units (DSUs). Upon resignation, removal, or retirement from the Board, the DSUs in the director's account under the Plan, including accrued dividend equivalents, are converted into an equal number of shares of Carrier common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

SEC source: 0001225208-21-005343 · doc4.xml · nonDerivative · entry 1

Timperman Jurgen · CIK 0001808090 · President, Fire & Security

10b5-1 filing: Not disclosed

Ownership: Indirect · By Family Trust

Disclosed balance after: 0

F1 · price: The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $39.04 to $39.34 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.

SEC source: 0001225208-21-003756 · doc4.xml · nonDerivative · entry 1

Timperman Jurgen · CIK 0001808090 · President, Fire & Security

10b5-1 filing: Not disclosed

Ownership: Indirect · By UTC Savings Plan Trustee

Disclosed balance after: 0

SEC source: 0001225208-21-002505 · doc4.xml · nonDerivative · entry 1

Crockett Kyle · CIK 0001807898 · Vice President, Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12

F1 · price: The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $36.861 to $36.870 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.

SEC source: 0001225208-21-002272 · doc4.xml · derivative · entry 4

Appel David · CIK 0001808516 · President, Refrigeration

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 57 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 · derivative.exercise_price: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of Carrier common stock.

F2 · derivative.exercise_date: The reporting person was granted RSUs on January 2, 2018 by United Technologies Corporation, the former parent company of the issuer. And on January 5, 2021, the reporting person reported that the previously awarded RSUs, including dividend equivalents, vested and converted to Carrier common stock. Those previously awarded RSUs were entitled to additional dividend equivalents that were not payable until February 10, 2021.

F2 · derivative.expiration_date: The reporting person was granted RSUs on January 2, 2018 by United Technologies Corporation, the former parent company of the issuer. And on January 5, 2021, the reporting person reported that the previously awarded RSUs, including dividend equivalents, vested and converted to Carrier common stock. Those previously awarded RSUs were entitled to additional dividend equivalents that were not payable until February 10, 2021.

SEC source: 0001225208-21-002272 · doc4.xml · derivative · entry 3

Appel David · CIK 0001808516 · President, Refrigeration

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57

Underlying: Common Stock · 57 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of Carrier common stock.

F2 · derivative.exercise_date: The reporting person was granted RSUs on January 2, 2018 by United Technologies Corporation, the former parent company of the issuer. And on January 5, 2021, the reporting person reported that the previously awarded RSUs, including dividend equivalents, vested and converted to Carrier common stock. Those previously awarded RSUs were entitled to additional dividend equivalents that were not payable until February 10, 2021.

F2 · derivative.expiration_date: The reporting person was granted RSUs on January 2, 2018 by United Technologies Corporation, the former parent company of the issuer. And on January 5, 2021, the reporting person reported that the previously awarded RSUs, including dividend equivalents, vested and converted to Carrier common stock. Those previously awarded RSUs were entitled to additional dividend equivalents that were not payable until February 10, 2021.

SEC source: 0001225208-21-002272 · doc4.xml · nonDerivative · entry 2

Appel David · CIK 0001808516 · President, Refrigeration

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,014

SEC source: 0001225208-21-002272 · doc4.xml · nonDerivative · entry 1

Appel David · CIK 0001808516 · President, Refrigeration

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,036

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 · price: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of Carrier common stock.

SEC source: 0001225208-21-002270 · doc4.xml · derivative · entry 5

Nelson Christopher John · CIK 0001808520 · President, HVAC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 49 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 · derivative.exercise_price: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of Carrier common stock.

F2 · derivative.exercise_date: The reporting person was granted RSUs on January 2, 2018 by United Technologies Corporation, the former parent company of the issuer. And on January 5, 2021, the reporting person reported that the previously awarded RSUs, including dividend equivalents, vested and converted to Carrier common stock. Those previously awarded RSUs were entitled to additional dividend equivalents that were not payable until February 10, 2021.

F2 · derivative.expiration_date: The reporting person was granted RSUs on January 2, 2018 by United Technologies Corporation, the former parent company of the issuer. And on January 5, 2021, the reporting person reported that the previously awarded RSUs, including dividend equivalents, vested and converted to Carrier common stock. Those previously awarded RSUs were entitled to additional dividend equivalents that were not payable until February 10, 2021.

SEC source: 0001225208-21-002270 · doc4.xml · derivative · entry 4

Nelson Christopher John · CIK 0001808520 · President, HVAC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49

Underlying: Common Stock · 49 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of Carrier common stock.

F2 · derivative.exercise_date: The reporting person was granted RSUs on January 2, 2018 by United Technologies Corporation, the former parent company of the issuer. And on January 5, 2021, the reporting person reported that the previously awarded RSUs, including dividend equivalents, vested and converted to Carrier common stock. Those previously awarded RSUs were entitled to additional dividend equivalents that were not payable until February 10, 2021.

F2 · derivative.expiration_date: The reporting person was granted RSUs on January 2, 2018 by United Technologies Corporation, the former parent company of the issuer. And on January 5, 2021, the reporting person reported that the previously awarded RSUs, including dividend equivalents, vested and converted to Carrier common stock. Those previously awarded RSUs were entitled to additional dividend equivalents that were not payable until February 10, 2021.

SEC source: 0001225208-21-002270 · doc4.xml · nonDerivative · entry 2

Nelson Christopher John · CIK 0001808520 · President, HVAC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,617

SEC source: 0001225208-21-002270 · doc4.xml · nonDerivative · entry 1

Nelson Christopher John · CIK 0001808520 · President, HVAC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,638

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 · price: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of Carrier common stock.

SEC source: 0001225208-21-002274 · doc4.xml · derivative · entry 5

Villeneuve Nadia · CIK 0001808218 · Senior VP & CHRO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 19 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 · derivative.exercise_price: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of Carrier common stock.

F2 · derivative.exercise_date: The reporting person was granted RSUs on January 2, 2018 by United Technologies Corporation, the former parent company of the issuer. And on January 5, 2021, the reporting person reported that the previously awarded RSUs, including dividend equivalents, vested and converted to Carrier common stock. Those previously awarded RSUs were entitled to additional dividend equivalents that were not payable until February 10, 2021.

F2 · derivative.expiration_date: The reporting person was granted RSUs on January 2, 2018 by United Technologies Corporation, the former parent company of the issuer. And on January 5, 2021, the reporting person reported that the previously awarded RSUs, including dividend equivalents, vested and converted to Carrier common stock. Those previously awarded RSUs were entitled to additional dividend equivalents that were not payable until February 10, 2021.

SEC source: 0001225208-21-002274 · doc4.xml · derivative · entry 4

Villeneuve Nadia · CIK 0001808218 · Senior VP & CHRO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19

Underlying: Common Stock · 19 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of Carrier common stock.

F2 · derivative.exercise_date: The reporting person was granted RSUs on January 2, 2018 by United Technologies Corporation, the former parent company of the issuer. And on January 5, 2021, the reporting person reported that the previously awarded RSUs, including dividend equivalents, vested and converted to Carrier common stock. Those previously awarded RSUs were entitled to additional dividend equivalents that were not payable until February 10, 2021.

F2 · derivative.expiration_date: The reporting person was granted RSUs on January 2, 2018 by United Technologies Corporation, the former parent company of the issuer. And on January 5, 2021, the reporting person reported that the previously awarded RSUs, including dividend equivalents, vested and converted to Carrier common stock. Those previously awarded RSUs were entitled to additional dividend equivalents that were not payable until February 10, 2021.

SEC source: 0001225208-21-002274 · doc4.xml · nonDerivative · entry 2

Villeneuve Nadia · CIK 0001808218 · Senior VP & CHRO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,874

SEC source: 0001225208-21-002274 · doc4.xml · nonDerivative · entry 1

Villeneuve Nadia · CIK 0001808218 · Senior VP & CHRO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,879

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 · price: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of Carrier common stock.

SEC source: 0001225208-21-002275 · doc4.xml · derivative · entry 4

Crockett Kyle · CIK 0001807898 · Vice President, Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 16 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 · derivative.exercise_price: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of Carrier common stock.

F2 · derivative.exercise_date: The reporting person was granted RSUs on February 3, 2020. And on February 5, 2021, the reporting person reported that the previously awarded RSUs, including dividend equivalents, vested and converted to Carrier common stock. Those previously awarded RSUs were entitled to additional dividend equivalents that were not payable until February 10, 2021.

F2 · derivative.expiration_date: The reporting person was granted RSUs on February 3, 2020. And on February 5, 2021, the reporting person reported that the previously awarded RSUs, including dividend equivalents, vested and converted to Carrier common stock. Those previously awarded RSUs were entitled to additional dividend equivalents that were not payable until February 10, 2021.

SEC source: 0001225208-21-002275 · doc4.xml · derivative · entry 3

Crockett Kyle · CIK 0001807898 · Vice President, Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16

Underlying: Common Stock · 16 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of Carrier common stock.

F2 · derivative.exercise_date: The reporting person was granted RSUs on February 3, 2020. And on February 5, 2021, the reporting person reported that the previously awarded RSUs, including dividend equivalents, vested and converted to Carrier common stock. Those previously awarded RSUs were entitled to additional dividend equivalents that were not payable until February 10, 2021.

F2 · derivative.expiration_date: The reporting person was granted RSUs on February 3, 2020. And on February 5, 2021, the reporting person reported that the previously awarded RSUs, including dividend equivalents, vested and converted to Carrier common stock. Those previously awarded RSUs were entitled to additional dividend equivalents that were not payable until February 10, 2021.

SEC source: 0001225208-21-002275 · doc4.xml · nonDerivative · entry 2

Crockett Kyle · CIK 0001807898 · Vice President, Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,590

SEC source: 0001225208-21-002275 · doc4.xml · nonDerivative · entry 1

Crockett Kyle · CIK 0001807898 · Vice President, Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,594

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 · price: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of Carrier common stock.

SEC source: 0001225208-21-002271 · doc4.xml · derivative · entry 4

Agrawal Ajay · CIK 0001808151 · Senior VP, Strategy & Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 23 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 · derivative.exercise_price: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of Carrier common stock.

F2 · derivative.exercise_date: The reporting person was granted RSUs on January 2, 2018 by United Technologies Corporation, the former parent company of the issuer. And on January 5, 2021, the reporting person reported that the previously awarded RSUs, including dividend equivalents, vested and converted to Carrier common stock. Those previously awarded RSUs were entitled to additional dividend equivalents that were not payable until February 10, 2021.

F2 · derivative.expiration_date: The reporting person was granted RSUs on January 2, 2018 by United Technologies Corporation, the former parent company of the issuer. And on January 5, 2021, the reporting person reported that the previously awarded RSUs, including dividend equivalents, vested and converted to Carrier common stock. Those previously awarded RSUs were entitled to additional dividend equivalents that were not payable until February 10, 2021.

SEC source: 0001225208-21-002271 · doc4.xml · derivative · entry 3

Agrawal Ajay · CIK 0001808151 · Senior VP, Strategy & Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23

Underlying: Common Stock · 23 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of Carrier common stock.

F2 · derivative.exercise_date: The reporting person was granted RSUs on January 2, 2018 by United Technologies Corporation, the former parent company of the issuer. And on January 5, 2021, the reporting person reported that the previously awarded RSUs, including dividend equivalents, vested and converted to Carrier common stock. Those previously awarded RSUs were entitled to additional dividend equivalents that were not payable until February 10, 2021.

F2 · derivative.expiration_date: The reporting person was granted RSUs on January 2, 2018 by United Technologies Corporation, the former parent company of the issuer. And on January 5, 2021, the reporting person reported that the previously awarded RSUs, including dividend equivalents, vested and converted to Carrier common stock. Those previously awarded RSUs were entitled to additional dividend equivalents that were not payable until February 10, 2021.

SEC source: 0001225208-21-002271 · doc4.xml · nonDerivative · entry 2

Agrawal Ajay · CIK 0001808151 · Senior VP, Strategy & Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,114

SEC source: 0001225208-21-002271 · doc4.xml · nonDerivative · entry 1

Agrawal Ajay · CIK 0001808151 · Senior VP, Strategy & Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,120

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 · price: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of Carrier common stock.

SEC source: 0001225208-21-002269 · doc4.xml · derivative · entry 5

Timperman Jurgen · CIK 0001808090 · President, Fire & Security

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 29 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 · derivative.exercise_price: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of Carrier common stock.

F2 · derivative.exercise_date: The reporting person was granted RSUs on January 2, 2018 by United Technologies Corporation, the former parent company of the issuer. And on January 5, 2021, the reporting person reported that the previously awarded RSUs, including dividend equivalents, vested and converted to Carrier common stock. Those previously awarded RSUs were entitled to additional dividend equivalents that were not payable until February 10, 2021.

F2 · derivative.expiration_date: The reporting person was granted RSUs on January 2, 2018 by United Technologies Corporation, the former parent company of the issuer. And on January 5, 2021, the reporting person reported that the previously awarded RSUs, including dividend equivalents, vested and converted to Carrier common stock. Those previously awarded RSUs were entitled to additional dividend equivalents that were not payable until February 10, 2021.

SEC source: 0001225208-21-002269 · doc4.xml · derivative · entry 4

Timperman Jurgen · CIK 0001808090 · President, Fire & Security

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29

Underlying: Common Stock · 29 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of Carrier common stock.

F2 · derivative.exercise_date: The reporting person was granted RSUs on January 2, 2018 by United Technologies Corporation, the former parent company of the issuer. And on January 5, 2021, the reporting person reported that the previously awarded RSUs, including dividend equivalents, vested and converted to Carrier common stock. Those previously awarded RSUs were entitled to additional dividend equivalents that were not payable until February 10, 2021.

F2 · derivative.expiration_date: The reporting person was granted RSUs on January 2, 2018 by United Technologies Corporation, the former parent company of the issuer. And on January 5, 2021, the reporting person reported that the previously awarded RSUs, including dividend equivalents, vested and converted to Carrier common stock. Those previously awarded RSUs were entitled to additional dividend equivalents that were not payable until February 10, 2021.

SEC source: 0001225208-21-002269 · doc4.xml · nonDerivative · entry 2

Timperman Jurgen · CIK 0001808090 · President, Fire & Security

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,710

SEC source: 0001225208-21-002269 · doc4.xml · nonDerivative · entry 1

Timperman Jurgen · CIK 0001808090 · President, Fire & Security

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,722

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 · price: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of Carrier common stock.

SEC source: 0001225208-21-002273 · doc4.xml · derivative · entry 7

Gitlin David L. · CIK 0001631473 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 132 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 · derivative.exercise_price: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of Carrier common stock.

F2 · derivative.exercise_date: The reporting person was granted RSUs on January 2, 2018 by United Technologies Corporation, the former parent company of the issuer. And on January 5, 2021, the reporting person reported that the previously awarded RSUs, including dividend equivalents, vested and converted to Carrier common stock. Those previously awarded RSUs were entitled to additional dividend equivalents that were not payable until February 10, 2021.

F2 · derivative.expiration_date: The reporting person was granted RSUs on January 2, 2018 by United Technologies Corporation, the former parent company of the issuer. And on January 5, 2021, the reporting person reported that the previously awarded RSUs, including dividend equivalents, vested and converted to Carrier common stock. Those previously awarded RSUs were entitled to additional dividend equivalents that were not payable until February 10, 2021.

SEC source: 0001225208-21-002273 · doc4.xml · derivative · entry 6

Gitlin David L. · CIK 0001631473 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 132

Underlying: Common Stock · 132 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of Carrier common stock.

F2 · derivative.exercise_date: The reporting person was granted RSUs on January 2, 2018 by United Technologies Corporation, the former parent company of the issuer. And on January 5, 2021, the reporting person reported that the previously awarded RSUs, including dividend equivalents, vested and converted to Carrier common stock. Those previously awarded RSUs were entitled to additional dividend equivalents that were not payable until February 10, 2021.

F2 · derivative.expiration_date: The reporting person was granted RSUs on January 2, 2018 by United Technologies Corporation, the former parent company of the issuer. And on January 5, 2021, the reporting person reported that the previously awarded RSUs, including dividend equivalents, vested and converted to Carrier common stock. Those previously awarded RSUs were entitled to additional dividend equivalents that were not payable until February 10, 2021.

SEC source: 0001225208-21-002273 · doc4.xml · nonDerivative · entry 2

Gitlin David L. · CIK 0001631473 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83

SEC source: 0001225208-21-002273 · doc4.xml · nonDerivative · entry 1

Gitlin David L. · CIK 0001631473 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 132

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 · price: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of Carrier common stock.

SEC source: 0001225208-21-001851 · doc4.xml · derivative · entry 2

Appel David · CIK 0001808516 · President, Refrigeration

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,390

Underlying: Common Stock · 73,390 shares

Expires 2031-02-03

F1 · balance_after: The reporting person was also awarded 18,945 Performance Share Units (PSUs) under the Carrier Global Corporation Long-Term Incentive Plan. Each PSU has a value equal to one share of Carrier common stock and will only vest if Carrier achieves 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.

SEC source: 0001225208-21-001849 · doc4.xml · derivative · entry 3

Nelson Christopher John · CIK 0001808520 · President, HVAC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,015

Underlying: Common Stock · 113,015 shares

Expires 2031-02-03

F1 · balance_after: The reporting person was also awarded 29,175 Performance Share Units (PSUs) under the Carrier Global Corporation Long-Term Incentive Plan. Each PSU has a value equal to one share of Carrier common stock and will only vest if Carrier achieves 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.

SEC source: 0001225208-21-001854 · doc4.xml · derivative · entry 3

Villeneuve Nadia · CIK 0001808218 · Senior VP & CHRO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,390

Underlying: Common Stock · 73,390 shares

Expires 2031-02-03

F1 · balance_after: The reporting person was also awarded 18,945 Performance Share Units (PSUs) under the Carrier Global Corporation Long-Term Incentive Plan. Each PSU has a value equal to one share of Carrier common stock and will only vest if Carrier achieves 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.

SEC source: 0001225208-21-001847 · doc4.xml · derivative · entry 2

Crockett Kyle · CIK 0001807898 · Vice President, Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,545

Underlying: Common Stock · 24,545 shares

Expires 2031-02-03

F1 · balance_after: The reporting person was also awarded 6,335 Performance Share Units (PSUs) under the Carrier Global Corporation Long-Term Incentive Plan. Each PSU has a value equal to one share of Carrier common stock and will only vest if Carrier achieves 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.

SEC source: 0001225208-21-001855 · doc4.xml · derivative · entry 2

Agrawal Ajay · CIK 0001808151 · Senior VP, Strategy & Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,990

Underlying: Common Stock · 36,990 shares

Expires 2031-02-03

F1 · balance_after: The reporting person was also awarded 9,550 Performance Share Units (PSUs) under the Carrier Global Corporation Long-Term Incentive Plan. Each PSU has a value equal to one share of Carrier common stock and will only vest if Carrier achieves 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.

SEC source: 0001225208-21-001850 · doc4.xml · derivative · entry 3

Timperman Jurgen · CIK 0001808090 · President, Fire & Security

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,255

Underlying: Common Stock · 102,255 shares

Expires 2031-02-03

F1 · balance_after: The reporting person was also awarded 26,400 Performance Share Units (PSUs) under the Carrier Global Corporation Long-Term Incentive Plan. Each PSU has a value equal to one share of Carrier common stock and will only vest if Carrier achieves 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.

SEC source: 0001225208-21-001853 · doc4.xml · derivative · entry 2

O'Connor Kevin J. · CIK 0001808321 · Senior VP & CLO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,175

Underlying: Common Stock · 83,175 shares

Expires 2031-02-03

F1 · balance_after: The reporting person was also awarded 21,475 Performance Share Units (PSUs) under the Carrier Global Corporation Long-Term Incentive Plan. Each PSU has a value equal to one share of Carrier common stock and will only vest if Carrier achieves 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.

SEC source: 0001225208-21-001852 · doc4.xml · derivative · entry 1

Goris Patrick P. · CIK 0001696060 · Senior Vice President & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 139,925

Underlying: Common Stock · 139,925 shares

Expires 2031-02-03

F1 · balance_after: The reporting person was also awarded 36,125 Performance Share Units (PSUs) under the Carrier Global Corporation Long-Term Incentive Plan. Each PSU has a value equal to one share of Carrier common stock and will only vest if Carrier achieves 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.

SEC source: 0001225208-21-001848 · doc4.xml · derivative · entry 5

Gitlin David L. · CIK 0001631473 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 440,315

Underlying: Common Stock · 440,315 shares

Expires 2031-02-03

F1 · balance_after: The reporting person was also awarded 113,670 Performance Share Units (PSUs) under the Carrier Global Corporation Long-Term Incentive Plan. Each PSU has a value equal to one share of Carrier common stock and will only vest if Carrier achieves 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.

SEC source: 0001225208-21-001765 · doc4.xml · derivative · entry 3

Crockett Kyle · CIK 0001807898 · Vice President, Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,978 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 · derivative.exercise_price: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of Carrier common stock.

F2 · shares: The reporting person was granted these RSUs on February 3, 2020 and are the first of three tranches that vest over a three-year period

F2 · derivative.expiration_date: The reporting person was granted these RSUs on February 3, 2020 and are the first of three tranches that vest over a three-year period

SEC source: 0001225208-21-001765 · doc4.xml · nonDerivative · entry 2

Crockett Kyle · CIK 0001807898 · Vice President, Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,578

SEC source: 0001225208-21-001765 · doc4.xml · nonDerivative · entry 1

Crockett Kyle · CIK 0001807898 · Vice President, Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,978

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 · price: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of Carrier common stock.

SEC source: 0001225208-21-000367 · doc4.xml · derivative · entry 7

Nelson Christopher John · CIK 0001808520 · President, HVAC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 43,018 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 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of Carrier common stock.

F3 · derivative.expiration_date: The reporting person was originally granted Performance Stock Units (PSUs) on January 2, 2018, by UTC. These PSUs were converted to RSUs in connection with the spin-off of the issuer by UTC. The reporting person's prior filing on December 23, 2020, reporting a reduction in these RSUs otherwise deliverable to satisfy federal tax obligations identified this security as "Restricted Stock Unit RSU," but for recordkeeping purposes the title of the security has been changed to "RSU P" to reflect that these RSUs were related to the earlier grant of PSUs.

F3 · derivative.underlying_shares: The reporting person was originally granted Performance Stock Units (PSUs) on January 2, 2018, by UTC. These PSUs were converted to RSUs in connection with the spin-off of the issuer by UTC. The reporting person's prior filing on December 23, 2020, reporting a reduction in these RSUs otherwise deliverable to satisfy federal tax obligations identified this security as "Restricted Stock Unit RSU," but for recordkeeping purposes the title of the security has been changed to "RSU P" to reflect that these RSUs were related to the earlier grant of PSUs.

SEC source: 0001225208-21-000367 · doc4.xml · derivative · entry 6

Nelson Christopher John · CIK 0001808520 · President, HVAC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,160 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 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of Carrier common stock.

F2 · derivative.expiration_date: The reporting person was granted these RSUs on January 2, 2018, by United Technologies Corporation (UTC), the former parent company of the issuer.

F2 · derivative.underlying_shares: The reporting person was granted these RSUs on January 2, 2018, by United Technologies Corporation (UTC), the former parent company of the issuer.

SEC source: 0001225208-21-000367 · doc4.xml · nonDerivative · entry 4

Nelson Christopher John · CIK 0001808520 · President, HVAC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,589

SEC source: 0001225208-21-000367 · doc4.xml · nonDerivative · entry 3

Nelson Christopher John · CIK 0001808520 · President, HVAC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,031