CARR

SEC source: 0001225208-23-001416 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,987

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 Global Corporation common stock. The RSUs vest contingent upon the reporting person's continued employment at the conclusion of the vesting period.

SEC source: 0001225208-23-001421 · doc4.xml · derivative · entry 3

Villeneuve Nadia · CIK 0001808218 · Senior VP & CHRO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 21,478 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 Global Corporation common stock. The RSUs vest contingent upon the reporting person's continued employment at the conclusion of the vesting period.

F2 · derivative.exercise_date: The reporting person was originally granted RSUs on February 4, 2020 by United Technologies Corporation (UTC), the former parent company of the Issuer. These RSUs were converted into RSUs of the Issuer in connection with the spin-off of the Issuer by UTC.

F2 · derivative.expiration_date: The reporting person was originally granted RSUs on February 4, 2020 by United Technologies Corporation (UTC), the former parent company of the Issuer. These RSUs were converted into RSUs of the Issuer in connection with the spin-off of the Issuer by UTC.

SEC source: 0001225208-23-001421 · doc4.xml · nonDerivative · entry 2

Villeneuve Nadia · CIK 0001808218 · Senior VP & CHRO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,588

SEC source: 0001225208-23-001421 · doc4.xml · nonDerivative · entry 1

Villeneuve Nadia · CIK 0001808218 · Senior VP & CHRO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,394

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 Global Corporation common stock. The RSUs vest contingent upon the reporting person's continued employment at the conclusion of the vesting period.

SEC source: 0001225208-23-001422 · doc4.xml · derivative · entry 6

Crockett Kyle · CIK 0001807898 · Vice President, Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,826 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 Global Corporation common stock. The RSUs vest contingent upon the reporting person's continued employment at the conclusion of the vesting period.

F3 · derivative.exercise_date: The reporting person was originally granted RSUs on February 4, 2020 by United Technologies Corporation (UTC), the former parent company of the Issuer. These RSUs were converted into RSUs of the Issuer in connection with the spin-off of the Issuer by UTC.

F3 · derivative.expiration_date: The reporting person was originally granted RSUs on February 4, 2020 by United Technologies Corporation (UTC), the former parent company of the Issuer. These RSUs were converted into RSUs of the Issuer in connection with the spin-off of the Issuer by UTC.

SEC source: 0001225208-23-001422 · doc4.xml · nonDerivative · entry 4

Crockett Kyle · CIK 0001807898 · Vice President, Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,433

SEC source: 0001225208-23-001422 · doc4.xml · nonDerivative · entry 3

Crockett Kyle · CIK 0001807898 · Vice President, Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,583

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 Global Corporation common stock. The RSUs vest contingent upon the reporting person's continued employment at the conclusion of the vesting period.

SEC source: 0001225208-23-001420 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 34,706 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 Global Corporation common stock. The RSUs vest contingent upon the reporting person's continued employment at the conclusion of the vesting period.

F2 · derivative.exercise_date: The reporting person was originally granted RSUs on February 4, 2020 by United Technologies Corporation (UTC), the former parent company of the Issuer. These RSUs were converted into RSUs of the Issuer in connection with the spin-off of the Issuer by UTC.

F2 · derivative.expiration_date: The reporting person was originally granted RSUs on February 4, 2020 by United Technologies Corporation (UTC), the former parent company of the Issuer. These RSUs were converted into RSUs of the Issuer in connection with the spin-off of the Issuer by UTC.

SEC source: 0001225208-23-001420 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,157

SEC source: 0001225208-23-001420 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,206

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 Global Corporation common stock. The RSUs vest contingent upon the reporting person's continued employment at the conclusion of the vesting period.

SEC source: 0001225208-23-001419 · doc4.xml · derivative · entry 4

Timperman Jurgen · CIK 0001808090 · President, Fire & Security

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 24,462 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 Global Corporation common stock. The RSUs vest contingent upon the reporting person's continued employment at the conclusion of the vesting period.

F2 · derivative.exercise_date: The reporting person was originally granted RSUs on February 4, 2020 by United Technologies Corporation (UTC), the former parent company of the Issuer. These RSUs were converted into RSUs of the Issuer in connection with the spin-off of the Issuer by UTC.

F2 · derivative.expiration_date: The reporting person was originally granted RSUs on February 4, 2020 by United Technologies Corporation (UTC), the former parent company of the Issuer. These RSUs were converted into RSUs of the Issuer in connection with the spin-off of the Issuer by UTC.

SEC source: 0001225208-23-001419 · doc4.xml · nonDerivative · entry 2

Timperman Jurgen · CIK 0001808090 · President, Fire & Security

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,540

SEC source: 0001225208-23-001419 · doc4.xml · nonDerivative · entry 1

Timperman Jurgen · CIK 0001808090 · President, Fire & Security

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,462

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 Global Corporation common stock. The RSUs vest contingent upon the reporting person's continued employment at the conclusion of the vesting period.

SEC source: 0001225208-23-001417 · doc4.xml · derivative · entry 6

Gitlin David L. · CIK 0001631473 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 97,849 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 Global Corporation common stock. The RSUs vest contingent upon the reporting person's continued employment at the conclusion of the vesting period.

F3 · derivative.exercise_date: The reporting person was originally granted RSUs on February 4, 2020 by United Technologies Corporation (UTC), the former parent company of the Issuer. These RSUs were converted into RSUs of the Issuer in connection with the spin-off of the Issuer by UTC.

F3 · derivative.expiration_date: The reporting person was originally granted RSUs on February 4, 2020 by United Technologies Corporation (UTC), the former parent company of the Issuer. These RSUs were converted into RSUs of the Issuer in connection with the spin-off of the Issuer by UTC.

SEC source: 0001225208-23-001417 · doc4.xml · nonDerivative · entry 2

Gitlin David L. · CIK 0001631473 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 165,355

SEC source: 0001225208-23-001417 · doc4.xml · nonDerivative · entry 1

Gitlin David L. · CIK 0001631473 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 198,733

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 Global Corporation common stock. The RSUs vest contingent upon the reporting person's continued employment at the conclusion of the vesting period.

SEC source: 0001225208-23-002778 · doc4a.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,549

F1 · balance_after: On February 7, 2023, the reporting person filed a Form 4 that inadvertently incorrectly reported 21,049 shares withheld for the payment of taxes. The correct number of shares withheld was 13,657. On February 14, 2023, the reporting person filed a Form 4 that inadvertently incorrectly reported the amount of securities beneficially owned following the reported transactions as a result of the prior error corrected by this filing.

SEC source: 0001225208-23-001422 · doc4.xml · derivative · entry 5

Crockett Kyle · CIK 0001807898 · Vice President, Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,108 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 Global Corporation common stock. The RSUs vest contingent upon the reporting person's continued employment at the conclusion of the vesting period.

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

SEC source: 0001225208-23-001422 · doc4.xml · nonDerivative · entry 2

Crockett Kyle · CIK 0001807898 · Vice President, Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,757

SEC source: 0001225208-23-001422 · doc4.xml · nonDerivative · entry 1

Crockett Kyle · CIK 0001807898 · Vice President, Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,132

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 Global Corporation common stock. The RSUs vest contingent upon the reporting person's continued employment at the conclusion of the vesting period.

SEC source: 0001225208-23-001315 · doc4.xml · derivative · entry 1

White Timothy N · CIK 0001879699 · President, Refrigeration

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,015

Underlying: Common Stock · 84,015 shares

Expires 2033-01-31

F1 · balance_after: The reporting person was also awarded 21,210 Performance Share Units (PSUs) under the Carrier Global Corporation 2020 Long-Term Incentive Plan. Each PSU represents a contingent right to receive one share of Carrier Global Corporation common stock. The PSUs vest on the third anniversary of the grant date contingent upon (a) the reporting person's continued employment and (b) Carrier's achievement of pre-established performance targets for earnings per share growth and total shareowner return relative to a subset of industrial companies in the S&P 500 index over a three-year time period.

SEC source: 0001225208-23-001317 · doc4.xml · derivative · entry 1

Nelson Christopher John · CIK 0001808520 · President, HVAC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 227,070

Underlying: Common Stock · 227,070 shares

Expires 2033-01-31

F1 · balance_after: The reporting person was also awarded 57,315 Performance Share Units (PSUs) under the Carrier Global Corporation 2020 Long-Term Incentive Plan. Each PSU represents a contingent right to receive one share of Carrier Global Corporation common stock. The PSUs vest on the third anniversary of the grant date contingent upon (a) the reporting person's continued employment and (b) Carrier's achievement of pre-established performance targets for earnings per share growth and total shareowner return relative to a subset of industrial companies in the S&P 500 index over a three-year time period.

SEC source: 0001225208-23-001312 · doc4.xml · derivative · entry 1

Villeneuve Nadia · CIK 0001808218 · Senior VP & CHRO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,655

Underlying: Common Stock · 84,655 shares

Expires 2033-01-31

F1 · balance_after: The reporting person was also awarded 21,370 Performance Share Units (PSUs) under the Carrier Global Corporation 2020 Long-Term Incentive Plan. Each PSU represents a contingent right to receive one share of Carrier Global Corporation common stock. The PSUs vest on the third anniversary of the grant date contingent upon (a) the reporting person's continued employment and (b) Carrier's achievement of pre-established performance targets for earnings per share growth and total shareowner return relative to a subset of industrial companies in the S&P 500 index over a three-year time period.

SEC source: 0001225208-23-001310 · doc4.xml · derivative · entry 1

Crockett Kyle · CIK 0001807898 · Vice President, Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,415

Underlying: Common Stock · 45,415 shares

Expires 2033-01-31

F1 · balance_after: The reporting person was also awarded 11,465 Performance Share Units (PSUs) under the 2020 Carrier Global Corporation Long-Term Incentive Plan. Each PSU represents a contingent right to receive one share of Carrier Global Corporation common stock. The PSUs vest on the third anniversary of the grant date contingent upon (a) the reporting person's continued employment and (b) Carrier's achievement of pre-established performance targets for earnings per share growth and total shareowner return relative to a subset of industrial companies in the S&P 500 index over a three-year time period.

SEC source: 0001225208-23-001311 · doc4.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,790

Underlying: Common Stock · 31,790 shares

Expires 2033-01-31

F1 · balance_after: The reporting person was also awarded 8,025 Performance Share Units (PSUs) under the Carrier Global Corporation 2020 Long-Term Incentive Plan. Each PSU represents a contingent right to receive one share of Carrier Global Corporation common stock. The PSUs vest on the third anniversary of the grant date contingent upon (a) the reporting person's continued employment and (b) Carrier's achievement of pre-established performance targets for earnings per share growth and total shareowner return relative to a subset of industrial companies in the S&P 500 index over a three-year time period.

SEC source: 0001225208-23-001313 · doc4.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,205

Underlying: Common Stock · 77,205 shares

Expires 2033-01-31

F1 · balance_after: The reporting person was also awarded 19,490 Performance Share Units (PSUs) under the Carrier Global Corporation 2020 Long-Term Incentive Plan. Each PSU represents a contingent right to receive one share of Carrier Global Corporation common stock. The PSUs vest on the third anniversary of the grant date contingent upon (a) the reporting person's continued employment and (b) Carrier's achievement of pre-established performance targets for earnings per share growth and total shareowner return relative to a subset of industrial companies in the S&P 500 index over a three-year time period.

SEC source: 0001225208-23-001316 · doc4.xml · derivative · entry 1

Timperman Jurgen · CIK 0001808090 · President, Fire & Security

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 181,655

Underlying: Common Stock · 181,655 shares

Expires 2033-01-31

F1 · balance_after: The reporting person was also awarded 45,855 Performance Share Units (PSUs) under the Carrier Global Corporation 2020 Long-Term Incentive Plan. Each PSU represents a contingent right to receive one share of Carrier Global Corporation common stock. The PSUs vest on the third anniversary of the grant date contingent upon (a) the reporting person's continued employment and (b) Carrier's achievement of pre-established performance targets for earnings per share growth and total shareowner return relative to a subset of industrial companies in the S&P 500 index over a three-year time period.

SEC source: 0001225208-23-001318 · doc4.xml · derivative · entry 1

Gitlin David L. · CIK 0001631473 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 506,360

Underlying: Common Stock · 506,360 shares

Expires 2033-01-31

F1 · balance_after: The reporting person was also awarded 127,810 Performance Share Units (PSUs) under the Carrier Global Corporation 2020 Long-Term Incentive Plan. Each PSU represents a contingent right to receive one share of Carrier Global Corporation common stock. The PSUs vest on the third anniversary of the grant date contingent upon (a) the reporting person's continued employment and (b) Carrier's achievement of pre-established performance targets for earnings per share growth and total shareowner return relative to a subset of industrial companies in the S&P 500 index over a three-year time period.

SEC source: 0001225208-23-001314 · doc4.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 227,070

Underlying: Common Stock · 227,070 shares

Expires 2033-01-31

F1 · balance_after: The reporting person was also awarded 57,315 Performance Share Units (PSUs) under the Carrier Global Corporation 2020 Long-Term Incentive Plan. Each PSU represents a contingent right to receive one share of Carrier Global Corporation common stock. The PSUs vest on the third anniversary of the grant date contingent upon (a) the reporting person's continued employment and (b) Carrier's achievement of pre-established performance targets for earnings per share growth and total shareowner return relative to a subset of industrial companies in the S&P 500 index over a three-year time period.

SEC source: 0001225208-23-000720 · doc4.xml · derivative · entry 1

STORY SUSAN N · CIK 0001233549 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,576.9315

Underlying: Common Stock · 3,576.9315 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: 0001225208-23-000068 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 40,471 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 Global Corporation common stock. The RSUs vest contingent upon the reporting person's continued employment at the conclusion of the vesting period.

F2 · derivative.expiration_date: The Expiration Date is January 2, 2023

SEC source: 0001225208-23-000068 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,500

SEC source: 0001225208-23-000068 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,987

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 Global Corporation common stock. The RSUs vest contingent upon the reporting person's continued employment at the conclusion of the vesting period.

SEC source: 0001225208-22-012291 · doc4.xml · derivative · entry 3

Villeneuve Nadia · CIK 0001808218 · Senior VP & CHRO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,478

Underlying: Common Stock · 833 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 RSUs on Feb. 4, 2020, by United Technologies Corporation, the former parent company of the issuer. 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 RSUs on Feb. 4, 2020, by United Technologies Corporation, the former parent company of the issuer. 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.

SEC source: 0001225208-22-012291 · doc4.xml · nonDerivative · entry 2

Villeneuve Nadia · CIK 0001808218 · Senior VP & CHRO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,916

SEC source: 0001225208-22-012291 · doc4.xml · nonDerivative · entry 1

Villeneuve Nadia · CIK 0001808218 · Senior VP & CHRO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,749

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.

SEC source: 0001225208-22-012292 · doc4.xml · derivative · entry 4

Timperman Jurgen · CIK 0001808090 · President, Fire & Security

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,462

Underlying: Common Stock · 948 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 RSUs on Feb. 4, 2020, by United Technologies Corporation, the former parent company of the issuer. 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 RSUs on Feb. 4, 2020, by United Technologies Corporation, the former parent company of the issuer. 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.

SEC source: 0001225208-22-012292 · doc4.xml · nonDerivative · entry 2

Timperman Jurgen · CIK 0001808090 · President, Fire & Security

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

SEC source: 0001225208-22-012292 · doc4.xml · nonDerivative · entry 1

Timperman Jurgen · CIK 0001808090 · President, Fire & Security

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 948

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.

SEC source: 0001225208-22-012290 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 18,162 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: Restricted stock units convert into common stock on a one-for-one basis.

F2 · 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 Global Corporation common stock. The RSUs vest contingent upon the reporting person's continued employment at the conclusion of the vesting period.

SEC source: 0001225208-22-012290 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,409

SEC source: 0001225208-22-012290 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,556

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: Restricted stock units convert into common stock on a one-for-one basis.

SEC source: 0001225208-22-012056 · doc4.xml · derivative · entry 17

Timperman Jurgen · CIK 0001808090 · President, Fire & Security

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 155,534 shares

Expires 2029-02-04

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.

SEC source: 0001225208-22-012056 · doc4.xml · derivative · entry 16

Timperman Jurgen · CIK 0001808090 · President, Fire & Security

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,724 shares

Expires 2027-01-03

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.

SEC source: 0001225208-22-012056 · doc4.xml · derivative · entry 15

Timperman Jurgen · CIK 0001808090 · President, Fire & Security

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 34,397 shares

Expires 2028-01-01

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.

SEC source: 0001225208-22-012056 · doc4.xml · nonDerivative · entry 14

Timperman Jurgen · CIK 0001808090 · President, Fire & Security

10b5-1 filing: Not disclosed

Ownership: Indirect · By Family Trust

Disclosed balance after: 39,474

SEC source: 0001225208-22-012056 · doc4.xml · nonDerivative · entry 13

Timperman Jurgen · CIK 0001808090 · President, Fire & Security

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F5 · price: The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $43.61 to $43.70 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: 0001225208-22-012056 · doc4.xml · nonDerivative · entry 12

Timperman Jurgen · CIK 0001808090 · President, Fire & Security

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,859

F4 · price: The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $43.58 to $43.64 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: 0001225208-22-012056 · doc4.xml · nonDerivative · entry 11

Timperman Jurgen · CIK 0001808090 · President, Fire & Security

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,690

F3 · price: The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $43.49 to $43.56 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: 0001225208-22-012056 · doc4.xml · nonDerivative · entry 10

Timperman Jurgen · CIK 0001808090 · President, Fire & Security

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,494