Last 12 months
Inside the activity.
1 purchase rows · 1 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 1 | 0 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 0 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 1 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 0 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| December 21, 2020 Filed Dec 23, 2020 21:55 UTC |
Nelson Christopher JohnPresident, HVAC
|
Exercise / conversionCommon Stock | 2,143 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-20-029455 · form4.xml · nonDerivative · entry 3 Nelson Christopher John · CIK 0001808520 · President, HVAC 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,143 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) represents a contingent right to receive one share of Carrier common stock. Read SEC document |
| December 21, 2020 Filed Dec 23, 2020 21:55 UTC |
Nelson Christopher JohnPresident, HVAC
|
Tax withholdingCommon Stock | 1,829 | $38.52 | $70,453.08 |
DisclosureSEC source: 0001140361-20-029455 · form4.xml · nonDerivative · entry 2 Nelson Christopher John · CIK 0001808520 · President, HVAC 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| December 21, 2020 Filed Dec 23, 2020 21:55 UTC |
Nelson Christopher JohnPresident, HVAC
|
Exercise / conversionCommon Stock | 1,829 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-20-029455 · form4.xml · nonDerivative · entry 1 Nelson Christopher John · CIK 0001808520 · President, HVAC 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,829 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) represents a contingent right to receive one share of Carrier common stock. Read SEC document |
| December 21, 2020 Filed Dec 23, 2020 21:27 UTC |
Agrawal AjaySenior VP, Strategy & Services
|
Exercise / conversionRestricted Stock Unit RSU · Derivative | 310 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-20-029422 · form4.xml · derivative · entry 9 Agrawal Ajay · CIK 0001808151 · Senior VP, Strategy & Services 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,974 Underlying: Common · 41 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. F4 · derivative.exercise_date: The reporting person was originally granted RSUs on February 5, 2019, by UTC. This transaction reflects a reduction in the RSUs otherwise deliverable upon future vesting in order to satisfy federal tax obligations with respect to the RSUs. F4 · derivative.expiration_date: The reporting person was originally granted RSUs on February 5, 2019, by UTC. This transaction reflects a reduction in the RSUs otherwise deliverable upon future vesting in order to satisfy federal tax obligations with respect to the RSUs. F4 · derivative.underlying_shares: The reporting person was originally granted RSUs on February 5, 2019, by UTC. This transaction reflects a reduction in the RSUs otherwise deliverable upon future vesting in order to satisfy federal tax obligations with respect to the RSUs. Read SEC document |
| December 21, 2020 Filed Dec 23, 2020 21:27 UTC |
Agrawal AjaySenior VP, Strategy & Services
|
Exercise / conversionRestricted Stock Unit RSU · Derivative | 551 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-20-029422 · form4.xml · derivative · entry 8 Agrawal Ajay · CIK 0001808151 · Senior VP, Strategy & Services 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,194 Underlying: Common · 551 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.exercise_date: The reporting person was originally granted PSUs on February 5, 2019, by UTC. These PSUs were converted to RSUs in connection with the spin-off of the issuer by UTC. This transaction reflects a reduction in the RSUs otherwise deliverable upon future vesting in order to satisfy federal tax obligations with respect to the RSUs. F3 · derivative.expiration_date: The reporting person was originally granted PSUs on February 5, 2019, by UTC. These PSUs were converted to RSUs in connection with the spin-off of the issuer by UTC. This transaction reflects a reduction in the RSUs otherwise deliverable upon future vesting in order to satisfy federal tax obligations with respect to the RSUs. F3 · derivative.underlying_shares: The reporting person was originally granted PSUs on February 5, 2019, by UTC. These PSUs were converted to RSUs in connection with the spin-off of the issuer by UTC. This transaction reflects a reduction in the RSUs otherwise deliverable upon future vesting in order to satisfy federal tax obligations with respect to the RSUs. Read SEC document |
| December 21, 2020 Filed Dec 23, 2020 21:27 UTC |
Agrawal AjaySenior VP, Strategy & Services
|
Exercise / conversionRestricted Stock Unit RSU · Derivative | 452 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-20-029422 · form4.xml · derivative · entry 7 Agrawal Ajay · CIK 0001808151 · Senior VP, Strategy & Services 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,649 Underlying: Common · 452 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.exercise_date: The reporting person was originally granted Performance Stock Units (PSUs) on January 2, 2018, by United Technologies Corporation (UTC), the former parent company of the issuer. These PSUs were converted to RSUs in connection with the spin-off of the issuer by UTC. This transaction reflects a reduction in the RSUs otherwise deliverable upon future vesting in order to satisfy federal tax obligations with respect to the RSUs. F2 · derivative.expiration_date: The reporting person was originally granted Performance Stock Units (PSUs) on January 2, 2018, by United Technologies Corporation (UTC), the former parent company of the issuer. These PSUs were converted to RSUs in connection with the spin-off of the issuer by UTC. This transaction reflects a reduction in the RSUs otherwise deliverable upon future vesting in order to satisfy federal tax obligations with respect to the RSUs. F2 · derivative.underlying_shares: The reporting person was originally granted Performance Stock Units (PSUs) on January 2, 2018, by United Technologies Corporation (UTC), the former parent company of the issuer. These PSUs were converted to RSUs in connection with the spin-off of the issuer by UTC. This transaction reflects a reduction in the RSUs otherwise deliverable upon future vesting in order to satisfy federal tax obligations with respect to the RSUs. Read SEC document |
| December 21, 2020 Filed Dec 23, 2020 21:27 UTC |
Agrawal AjaySenior VP, Strategy & Services
|
Tax withholdingCommon Stock | 310 | $38.52 | $11,941.20 |
DisclosureSEC source: 0001140361-20-029422 · form4.xml · nonDerivative · entry 6 Agrawal Ajay · CIK 0001808151 · Senior VP, Strategy & Services 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,465 Read SEC document |
| December 21, 2020 Filed Dec 23, 2020 21:27 UTC |
Agrawal AjaySenior VP, Strategy & Services
|
Exercise / conversionCommon Stock | 310 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-20-029422 · form4.xml · nonDerivative · entry 5 Agrawal Ajay · CIK 0001808151 · Senior VP, Strategy & Services 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,775 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) represents a contingent right to receive one share of Carrier common stock. Read SEC document |
| December 21, 2020 Filed Dec 23, 2020 21:27 UTC |
Agrawal AjaySenior VP, Strategy & Services
|
Tax withholdingCommon Stock | 551 | $38.52 | $21,224.52 |
DisclosureSEC source: 0001140361-20-029422 · form4.xml · nonDerivative · entry 4 Agrawal Ajay · CIK 0001808151 · Senior VP, Strategy & Services 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,465 Read SEC document |
| December 21, 2020 Filed Dec 23, 2020 21:27 UTC |
Agrawal AjaySenior VP, Strategy & Services
|
Exercise / conversionCommon Stock | 551 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-20-029422 · form4.xml · nonDerivative · entry 3 Agrawal Ajay · CIK 0001808151 · Senior VP, Strategy & Services 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,016 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) represents a contingent right to receive one share of Carrier common stock. Read SEC document |
| December 21, 2020 Filed Dec 23, 2020 21:27 UTC |
Agrawal AjaySenior VP, Strategy & Services
|
Tax withholdingCommon Stock | 452 | $38.52 | $17,411.04 |
DisclosureSEC source: 0001140361-20-029422 · form4.xml · nonDerivative · entry 2 Agrawal Ajay · CIK 0001808151 · Senior VP, Strategy & Services 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,465 Read SEC document |
| December 21, 2020 Filed Dec 23, 2020 21:27 UTC |
Agrawal AjaySenior VP, Strategy & Services
|
Exercise / conversionCommon Stock | 452 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-20-029422 · form4.xml · nonDerivative · entry 1 Agrawal Ajay · CIK 0001808151 · Senior VP, Strategy & Services 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,917 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) represents a contingent right to receive one share of Carrier common stock. Read SEC document |
| December 01, 2020 Filed Dec 3, 2020 22:13 UTC |
Goris Patrick P.Senior Vice President & CFO
|
GrantStock Appreciation Right · Derivative | 60,968 | $37.60 Strike: $37.60 | $2,292,396.80 |
DisclosureSEC source: 0001225208-20-014228 · doc4.xml · derivative · entry 6 Goris Patrick P. · CIK 0001696060 · Senior Vice President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,968 Underlying: Common Stock · 60,968 shares Expires 2030-11-30 Read SEC document |
| December 01, 2020 Filed Dec 3, 2020 22:13 UTC |
Goris Patrick P.Senior Vice President & CFO
|
GrantStock Appreciation Right · Derivative | 60,966 | $37.60 Strike: $37.60 | $2,292,321.60 |
DisclosureSEC source: 0001225208-20-014228 · doc4.xml · derivative · entry 5 Goris Patrick P. · CIK 0001696060 · Senior Vice President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,966 Underlying: Common Stock · 60,966 shares Expires 2030-11-30 Read SEC document |
| December 01, 2020 Filed Dec 3, 2020 22:13 UTC |
Goris Patrick P.Senior Vice President & CFO
|
GrantStock Appreciation Right · Derivative | 60,966 | $37.60 Strike: $37.60 | $2,292,321.60 |
DisclosureSEC source: 0001225208-20-014228 · doc4.xml · derivative · entry 4 Goris Patrick P. · CIK 0001696060 · Senior Vice President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,966 Underlying: Common Stock · 60,966 shares Expires 2030-11-30 Read SEC document |
| December 01, 2020 Filed Dec 3, 2020 22:13 UTC |
Goris Patrick P.Senior Vice President & CFO
|
GrantRestricted Stock Unit RSU · Derivative | 17,733 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001225208-20-014228 · doc4.xml · derivative · entry 3 Goris Patrick P. · CIK 0001696060 · Senior Vice President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,733 Underlying: Common Stock · 17,733 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit, including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of Carrier common stock at the conclusion of the vesting period F1 · price: Each Restricted Stock Unit, including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of Carrier common stock at the conclusion of the vesting period F1 · derivative.expiration_date: Each Restricted Stock Unit, including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of Carrier common stock at the conclusion of the vesting period Read SEC document |
| December 01, 2020 Filed Dec 3, 2020 22:13 UTC |
Goris Patrick P.Senior Vice President & CFO
|
GrantRestricted Stock Unit RSU · Derivative | 17,731 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001225208-20-014228 · doc4.xml · derivative · entry 2 Goris Patrick P. · CIK 0001696060 · Senior Vice President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,731 Underlying: Common Stock · 17,731 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit, including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of Carrier common stock at the conclusion of the vesting period F1 · price: Each Restricted Stock Unit, including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of Carrier common stock at the conclusion of the vesting period F1 · derivative.expiration_date: Each Restricted Stock Unit, including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of Carrier common stock at the conclusion of the vesting period Read SEC document |
| December 01, 2020 Filed Dec 3, 2020 22:13 UTC |
Goris Patrick P.Senior Vice President & CFO
|
GrantRestricted Stock Unit RSU · Derivative | 17,731 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001225208-20-014228 · doc4.xml · derivative · entry 1 Goris Patrick P. · CIK 0001696060 · Senior Vice President & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,731 Underlying: Common Stock · 17,731 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit, including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of Carrier common stock at the conclusion of the vesting period F1 · price: Each Restricted Stock Unit, including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of Carrier common stock at the conclusion of the vesting period F1 · derivative.expiration_date: Each Restricted Stock Unit, including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of Carrier common stock at the conclusion of the vesting period Read SEC document |
| October 12, 2020 Filed Oct 14, 2020 20:18 UTC |
Gitlin David L.Director · President & CEO
|
Exercise / conversionRestricted Stock Unit RSU · Derivative | 215,749 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-20-012470 · doc4.xml · derivative · entry 5 Gitlin David L. · CIK 0001631473 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 215,749 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 these RSUs by United Technologies Corporation, Carrier's parent company before the spinoff. These fully vested on October 11, 2020 and were converted into Carrier common stock. F2 · derivative.expiration_date: The reporting person was granted these RSUs by United Technologies Corporation, Carrier's parent company before the spinoff. These fully vested on October 11, 2020 and were converted into Carrier common stock. Read SEC document |
| October 12, 2020 Filed Oct 14, 2020 20:18 UTC |
Gitlin David L.Director · President & CEO
|
Tax withholdingCommon Stock | 84,898 | $33.00 | $2,801,634.00 |
DisclosureSEC source: 0001225208-20-012470 · doc4.xml · nonDerivative · entry 2 Gitlin David L. · CIK 0001631473 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,918 Read SEC document |
| October 12, 2020 Filed Oct 14, 2020 20:18 UTC |
Gitlin David L.Director · President & CEO
|
Exercise / conversionCommon Stock | 130,851 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-20-012470 · doc4.xml · nonDerivative · entry 1 Gitlin David L. · CIK 0001631473 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 136,816 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. Read SEC document |
| October 12, 2020 Filed Oct 27, 2020 22:24 UTC Amendment |
Gitlin David L.Director · President & CEO
|
Exercise / conversionCommon Stock | 215,749 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-20-012777 · doc4a.xml · nonDerivative · entry 1 Gitlin David L. · CIK 0001631473 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 221,714 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. F2 · balance_after: This amendment corrects the number of shares of common stock that were acquired in connection with the vesting of RSUs on October 12, 2020. The prior Form 4 incorrectly indicated that the number of shares acquired was 130,851. Read SEC document |
| June 01, 2020 Filed Jun 3, 2020 16:17 UTC |
Appel DavidPresident, Refrigeration
|
GrantRestricted Stock Unit RSU · Derivative | 45,830 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001225208-20-008576 · doc4.xml · derivative · entry 1 Appel David · CIK 0001808516 · President, Refrigeration 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,830 Underlying: Common Stock · 45,830 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 after a three-year vesting period; however, these RSUs may vest after two years if the reporting person retires upon or after reaching age 65. 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 after a three-year vesting period; however, these RSUs may vest after two years if the reporting person retires upon or after reaching age 65. F1 · derivative.expiration_date: 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 after a three-year vesting period; however, these RSUs may vest after two years if the reporting person retires upon or after reaching age 65. Read SEC document |
| May 27, 2020 Filed Jun 23, 2020 20:09 UTC |
O'Connor Kevin J.Senior Vice President & CLO
|
SaleCommon Stock | 7.4647 | $19.99 | $149.22 |
DisclosureSEC source: 0001225208-20-009159 · doc4.xml · nonDerivative · entry 1 O'Connor Kevin J. · CIK 0001808321 · Senior Vice President & CLO 10b5-1 filing: Not disclosed Ownership: Indirect · By UTC Savings Plan Trustee Disclosed balance after: 0 F1 · price: The reporting person held a small number of Carrier shares in the United Technologies Corporation (UTC) Savings Plan that resulted from Carrier's spinoff from UTC on April 3, 2020. That small sum of shares were inadvertently sold in the course of rolling over the reporting person's holdings in the UTC Savings Plan into his account with an investment firm. Read SEC document |
| May 18, 2020 Filed May 18, 2020 21:09 UTC |
Gitlin David L.Director · President & CEO
|
GrantCommon Stock | 57,580 | $17.45 | $1,004,765.24 |
DisclosureSEC source: 0001225208-20-007940 · doc4.xml · nonDerivative · entry 1 Gitlin David L. · CIK 0001631473 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse's Trust Disclosed balance after: 70,473 F1 · price: The price reported in Column 4 is a weighted average price for shares purchased in multiple transactions. The purchase prices range from $17.385 to $17.49 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 purchased at each separate price within the range. F2 · balance_after: The reporting person, who previously served as an executive officer with United Technologies Corporation (UTC), held 12,893 shares of UTC that resulted in the receipt of 12,893 shares of Carrier common stock in connection with Carrier's spinoff from UTC on April 3, 2020, and those shares are reflected in column 5. Read SEC document |
| May 18, 2020 Filed May 19, 2020 21:06 UTC Amendment |
Gitlin David L.Director · President & CEO
|
PurchaseCommon Stock | 57,580 | $17.45 | $1,004,765.24 |
DisclosureSEC source: 0001225208-20-008007 · doc4a.xml · nonDerivative · entry 1 Gitlin David L. · CIK 0001631473 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse's Trust Disclosed balance after: 70,473 F1 · kind: This Form 4 is being amended to incorporate transaction code P, which reflects that this transaction was an open market purchase. F2 · price: The price reported in Column 4 is a weighted average price for shares purchased in multiple transactions. The purchase prices range from $17.385 to $17.49 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 purchased at each separate price within the range. F3 · balance_after: The reporting person, who previously served as an executive officer with United Technologies Corporation (UTC), held 12,893 shares of UTC that resulted in the receipt of 12,893 shares of Carrier common stock in connection with Carrier's spinoff from UTC on April 3, 2020, and those shares are reflected in column 5. Read SEC document |
| May 18, 2020 Filed May 19, 2020 21:05 UTC |
GREISCH JOHN JDirector
|
PurchaseCommon Stock | 35,000 | $17.44 | $610,316.00 |
DisclosureSEC source: 0001225208-20-008006 · doc4.xml · nonDerivative · entry 1 GREISCH JOHN J · CIK 0001278569 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,417 F1 · price: The price reported in Column 4 is a weighted average price for shares purchased in multiple transactions. The purchase prices range from $17.36 to $17.47 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 purchased at each separate price within the range. F2 · balance_after: The reporting person held 417 shares of United Technologies Corporation (UTC) that resulted in the receipt of 417 shares of Carrier common stock in connection with Carrier's spinoff from UTC on April 3, 2020, and those shares are reflected in column 5. Read SEC document |
| May 14, 2020 Filed May 18, 2020 18:02 UTC |
Appel DavidPresident, Refrigeration
|
GrantStock Appreciation Right · Derivative | 165,200 | $16.55 Strike: $16.55 | $2,734,060.00 |
DisclosureSEC source: 0001225208-20-007965 · doc4.xml · derivative · entry 1 Appel David · CIK 0001808516 · President, Refrigeration 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 165,200 Underlying: Common Stock · 165,200 shares Expires 2030-05-13 F1 · balance_after: The reporting person was also awarded 46,240 Performance Share Units (PSUs) under the Carrier Global Corporation 2020 Long-Term Incentive Plan. This award, like the award of the Stock Appreciation Rights, was part of a founder's grant awarded to the reporting person and to certain other executive officers and certain other employees. 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 Carrier's total shareholder return relative to a subset of industrial companies in the S&P 500 index over a three-year time period. Read SEC document |
| May 14, 2020 Filed May 18, 2020 22:01 UTC |
Nelson Christopher JohnPresident, HVAC
|
GrantStock Appreciation Right · Derivative | 165,200 | $16.55 Strike: $16.55 | $2,734,060.00 |
DisclosureSEC source: 0001225208-20-007963 · doc4.xml · derivative · entry 1 Nelson Christopher John · CIK 0001808520 · President, HVAC 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 165,200 Underlying: Common Stock · 165,200 shares Expires 2030-05-13 F1 · balance_after: The reporting person was also awarded 46,240 Performance Share Units (PSUs) under the Carrier Global Corporation 2020 Long-Term Incentive Plan. This award, like the award of the Stock Appreciation Rights, was part of a founder's grant awarded to the reporting person and to certain other executive officers and certain other employees. 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 Carrier's total shareholder return relative to a subset of industrial companies in the S&P 500 index over a three-year time period. Read SEC document |
| May 14, 2020 Filed May 18, 2020 18:02 UTC |
Villeneuve NadiaVP, Chief HR Officer
|
GrantStock Appreciation Right · Derivative | 110,200 | $16.55 Strike: $16.55 | $1,823,810.00 |
DisclosureSEC source: 0001225208-20-007968 · doc4.xml · derivative · entry 1 Villeneuve Nadia · CIK 0001808218 · VP, Chief HR Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 110,200 Underlying: Common Stock · 110,200 shares Expires 2030-05-13 F1 · balance_after: The reporting person was also awarded 30,830 Performance Share Units (PSUs) under the Carrier Global Corporation 2020 Long-Term Incentive Plan. This award, like the award of the Stock Appreciation Rights, was part of a founder's grant awarded to the reporting person and to certain other executive officers and certain other employees. 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 Carrier's total shareholder return relative to a subset of industrial companies in the S&P 500 index over a three-year time period. Read SEC document |
| May 14, 2020 Filed May 18, 2020 22:02 UTC |
Agrawal AjayVP, Strategy & Services
|
GrantStock Appreciation Right · Derivative | 110,200 | $16.55 Strike: $16.55 | $1,823,810.00 |
DisclosureSEC source: 0001225208-20-007969 · doc4.xml · derivative · entry 1 Agrawal Ajay · CIK 0001808151 · VP, Strategy & Services 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 110,200 Underlying: Common Stock · 110,200 shares Expires 2030-05-13 F1 · balance_after: The reporting person was also awarded 30,830 Performance Share Units (PSUs) under the Carrier Global Corporation 2020 Long-Term Incentive Plan. This award, like the award of the Stock Appreciation Rights, was part of a founder's grant awarded to the reporting person and to certain other executive officers and certain other employees. 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 Carrier's total shareholder return relative to a subset of industrial companies in the S&P 500 index over a three-year time period. Read SEC document |
| May 14, 2020 Filed May 18, 2020 18:02 UTC |
Timperman JurgenPresident, Fire & Security
|
GrantStock Appreciation Right · Derivative | 165,200 | $16.55 Strike: $16.55 | $2,734,060.00 |
DisclosureSEC source: 0001225208-20-007964 · doc4.xml · derivative · entry 1 Timperman Jurgen · CIK 0001808090 · President, Fire & Security 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 165,200 Underlying: Common Stock · 165,200 shares Expires 2030-05-13 F1 · balance_after: The reporting person was also awarded 46,240 Performance Share Units (PSUs) under the Carrier Global Corporation 2020 Long-Term Incentive Plan. This award, like the award of the Stock Appreciation Rights, was part of a founder's grant awarded to the reporting person and to certain other executive officers and certain other employees. 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 Carrier's total shareholder return relative to a subset of industrial companies in the S&P 500 index over a three-year time period. Read SEC document |
| May 14, 2020 Filed May 18, 2020 22:02 UTC |
O'Connor Kevin J.VP, Chief Legal OfFicer
|
GrantStock Appreciation Right · Derivative | 110,200 | $16.55 Strike: $16.55 | $1,823,810.00 |
DisclosureSEC source: 0001225208-20-007967 · doc4.xml · derivative · entry 1 O'Connor Kevin J. · CIK 0001808321 · VP, Chief Legal OfFicer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 110,200 Underlying: Common Stock · 110,200 shares Expires 2030-05-13 F1 · balance_after: The reporting person was also awarded 30,830 Performance Share Units (PSUs) under the Carrier Global Corporation 2020 Long-Term Incentive Plan. This award, like the award of the Stock Appreciation Rights, was part of a founder's grant awarded to the reporting person and to certain other executive officers and certain other employees. 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 Carrier's total shareholder return relative to a subset of industrial companies in the S&P 500 index over a three-year time period. Read SEC document |
| May 14, 2020 Filed May 18, 2020 22:11 UTC |
Gitlin David L.Director · President & CEO
|
GrantStock Appreciation Right · Derivative | 330,400 | $16.55 Strike: $16.55 | $5,468,120.00 |
DisclosureSEC source: 0001225208-20-007971 · doc4.xml · derivative · entry 3 Gitlin David L. · CIK 0001631473 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 661,400 Underlying: Common Stock · 330,400 shares Expires 2030-05-13 F3 · balance_after: The reporting person was also awarded 92,480 Performance Share Units (PSUs) under the Carrier Global Corporation 2020 Long-Term Incentive Plan. This award, like the award of the Stock Appreciation Rights, was part of a founder's grant awarded to the reporting person and to certain other executive officers and certain other employees. 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 Carrier's total shareholder return relative to a subset of industrial companies in the S&P 500 index over a three-year time period. Read SEC document |
| May 14, 2020 Filed May 18, 2020 22:11 UTC |
Gitlin David L.Director · President & CEO
|
GrantStock Appreciation Right · Derivative | 331,000 | $16.55 Strike: $16.55 | $5,478,050.00 |
DisclosureSEC source: 0001225208-20-007971 · doc4.xml · derivative · entry 2 Gitlin David L. · CIK 0001631473 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 331,000 Underlying: Common Stock · 331,000 shares Expires 2030-05-13 F2 · security: The reporting person was awarded these SARs under the Carrier Global Corporation 2020 Long-Term Incentive Plan. As indicated in the table, these SARs vest after a three-year period and have an exercise price of $16.55. Read SEC document |
| May 14, 2020 Filed May 18, 2020 22:11 UTC |
Gitlin David L.Director · President & CEO
|
GrantRestricted Stock Unit RSU · Derivative | 92,500 | Not disclosed Strike: $16.55 | Not disclosed |
DisclosureSEC source: 0001225208-20-007971 · doc4.xml · derivative · entry 1 Gitlin David L. · CIK 0001631473 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 92,500 Underlying: Common Stock · 92,500 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit, including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of Carrier common stock after the three-year vesting period. F1 · price: Each Restricted Stock Unit, including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of Carrier common stock after the three-year vesting period. F1 · derivative.expiration_date: Each Restricted Stock Unit, including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of Carrier common stock after the three-year vesting period. Read SEC document |
| May 14, 2020 Filed May 18, 2020 22:02 UTC |
FARACI JOHN VDirector · Executive Chairman
|
GrantStock Appreciation Right · Derivative | 165,200 | $16.55 Strike: $16.55 | $2,734,060.00 |
DisclosureSEC source: 0001225208-20-007970 · doc4.xml · derivative · entry 2 FARACI JOHN V · CIK 0001189930 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 165,200 Underlying: Common Stock · 165,200 shares Expires 2030-05-13 F2 · balance_after: The reporting person was awarded these SARs under the Carrier Global Corporation 2020 Long-Term Incentive Plan. As indicated in the table, these SARs vest after a three-year period and have an exercise price of $16.55. Read SEC document |
| May 14, 2020 Filed May 18, 2020 22:02 UTC |
FARACI JOHN VDirector · Executive Chairman
|
GrantRestricted Stock Unit RSU · Derivative | 46,240 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001225208-20-007970 · doc4.xml · derivative · entry 1 FARACI JOHN V · CIK 0001189930 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,240 Underlying: Common Stock · 46,240 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit, including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of Carrier common stock after the three-year vesting period. F1 · price: Each Restricted Stock Unit, including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of Carrier common stock after the three-year vesting period. F1 · derivative.expiration_date: Each Restricted Stock Unit, including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of Carrier common stock after the three-year vesting period. Read SEC document |
| May 14, 2020 Filed May 18, 2020 22:02 UTC |
MCLEVISH TIMOTHY RVice President, CFO
|
GrantStock Appreciation Right · Derivative | 165,200 | $16.55 Strike: $16.55 | $2,734,060.00 |
DisclosureSEC source: 0001225208-20-007966 · doc4.xml · derivative · entry 1 MCLEVISH TIMOTHY R · CIK 0001215826 · Vice President, CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 165,200 Underlying: Common Stock · 165,200 shares Expires 2030-05-13 F1 · balance_after: The reporting person was also awarded 46,240 Performance Share Units (PSUs) under the Carrier Global Corporation 2020 Long-Term Incentive Plan. This award, like the award of the Stock Appreciation Rights, was part of a founder's grant awarded to the reporting person and to certain other executive officers and certain other employees. 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 Carrier's total shareholder return relative to a subset of industrial companies in the S&P 500 index over a three-year time period. Read SEC document |
| May 12, 2020 Filed May 13, 2020 20:18 UTC |
GREISCH JOHN JDirector
|
GrantDirector DSU · Derivative | 17,842.6966 | $17.80 | $317,600.00 |
DisclosureSEC source: 0001225208-20-007583 · doc4.xml · derivative · entry 1 GREISCH JOHN J · CIK 0001278569 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,842.6966 Underlying: Common Stock · 17,842.6966 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. Read SEC document |
| May 12, 2020 Filed May 13, 2020 20:19 UTC |
GARNIER JEAN PIERREDirector
|
GrantDirector DSU · Derivative | 19,808.9888 | $17.80 | $352,600.00 |
DisclosureSEC source: 0001225208-20-007584 · doc4.xml · derivative · entry 1 GARNIER JEAN PIERRE · CIK 0001184175 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 110,684.329 Underlying: Common Stock · 19,808.9888 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. F2 · balance_after: The reporting person, who previously served as a director on the United Technologies Corporation (UTC) Board of Directors, received Carrier Deferred Stock Units (DSUs) in connection with Carrier's spinoff from UTC on April 3, 2020 that were attributable to that prior service. The total reported includes the DSUs associated with that prior service. Read SEC document |
| May 12, 2020 Filed May 13, 2020 20:18 UTC |
HOLLEY CHARLES MDirector
|
GrantDirector DSU · Derivative | 10,595.5056 | $17.80 | $188,600.00 |
DisclosureSEC source: 0001225208-20-007582 · doc4.xml · derivative · entry 1 HOLLEY CHARLES M · CIK 0001216478 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,595.5056 Underlying: Common Stock · 10,595.5056 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. Read SEC document |
| May 12, 2020 Filed May 13, 2020 20:18 UTC |
MCNAMARA MICHAEL MDirector
|
GrantDirector DSU · Derivative | 10,258.427 | $17.80 | $182,600.00 |
DisclosureSEC source: 0001225208-20-007581 · doc4.xml · derivative · entry 1 MCNAMARA MICHAEL M · CIK 0001261031 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,258.427 Underlying: Common Stock · 10,258.427 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. Read SEC document |
| May 12, 2020 Filed May 13, 2020 20:18 UTC |
TODMAN MICHAELDirector
|
GrantDirector DSU · Derivative | 10,258.427 | $17.80 | $182,600.00 |
DisclosureSEC source: 0001225208-20-007580 · doc4.xml · derivative · entry 1 TODMAN MICHAEL · CIK 0001224298 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,258.427 Underlying: Common Stock · 10,258.427 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. Read SEC document |
| May 12, 2020 Filed May 13, 2020 20:17 UTC |
WILSON VIRGINIA MDirector
|
GrantDirector DSU · Derivative | 10,258.427 | $17.80 | $182,600.00 |
DisclosureSEC source: 0001225208-20-007579 · doc4.xml · derivative · entry 1 WILSON VIRGINIA M · CIK 0001262696 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,258.427 Underlying: Common Stock · 10,258.427 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. Read SEC document |
| May 12, 2020 Filed May 19, 2020 21:05 UTC Amendment |
GARNIER JEAN PIERREDirector
|
GrantDirector DSU · Derivative | 19,808.9888 | $17.80 | $352,600.00 |
DisclosureSEC source: 0001225208-20-008005 · doc4a.xml · derivative · entry 1 GARNIER JEAN PIERRE · CIK 0001184175 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 111,243.878 Underlying: Common Stock · 19,808.9888 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. F2 · date: This Form 4 is being amended to reflect additional Deferred Stock Units (DSUs) that the reporting person received in connection with Carrier's spinoff from UTC on April 3, 2020, that were inadvertently not included in the total DSUs reflected in column 5 of the original filing on May 13, 2020. 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. F3 · balance_after: The reporting person, who previously served as a director on the United Technologies Corporation (UTC) Board of Directors, received Carrier Deferred Stock Units (DSUs) in connection with Carrier's spinoff from UTC on April 3, 2020 that were attributable to that prior service. The total reported includes the DSUs associated with that prior service. Read SEC document |
| May 12, 2020 Filed Aug 13, 2020 21:34 UTC Amendment |
GARNIER JEAN PIERREDirector
|
GrantDirector DSU · Derivative | 19,808.9888 | $17.80 | $352,600.00 |
DisclosureSEC source: 0001225208-20-010592 · doc4a.xml · derivative · entry 1 GARNIER JEAN PIERRE · CIK 0001184175 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,644.5928 Underlying: Common Stock · 19,808.9888 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 asa 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 asa 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 asa 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.underlying_shares: 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 asa 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. F2 · balance_after: The reporting person, who previously served as a director on the United Technologies Corporation (UTC) Board of Directors, received Carrier Deferred Stock Units (DSUs) in connection with Carrier's spinoff fromUTC on April 3, 2020 that were attributable to that prior service. The total reported in column 9 includes the DSUs associated with that prior service; however, the initial Form 4 and amendment that were filed on May 13, 2020 and May 19, 2020, respectively, mistakenly overstated the number of DSUs that the reporting person received for that prior service in connection with the spinoff. This amendment corrects the overstatement. Read SEC document |
| March 19, 2020 Filed Mar 24, 2020 01:10 UTC |
RTX Corp10% owner
|
OtherCommon Stock, par value $0.01 per share | 866,158,910 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-20-006611 · form4.xml · nonDerivative · entry 1 UNITED TECHNOLOGIES CORP /DE/ · CIK 0000101829 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · kind: The record date for the distribution by United Technologies Corporation of 100% of the shares of Carrier Global Corporation common stock to the holders of United Technologies Corporation common stock was at the close of business on March 19, 2020. The distribution of the Carrier Global Corporation shares is scheduled to occur on April 3, 2020. F1 · balance_after: The record date for the distribution by United Technologies Corporation of 100% of the shares of Carrier Global Corporation common stock to the holders of United Technologies Corporation common stock was at the close of business on March 19, 2020. The distribution of the Carrier Global Corporation shares is scheduled to occur on April 3, 2020. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.