Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| BOEING COBA · Entity 2862 | Director | July 01, 2026 | July 06, 2026 |
| CARRIER GLOBAL CorpCARR · Entity 3043 | Director · Chairman and CEO | February 01, 2026 | February 04, 2026 |
| RTX CorpUTX · Entity 2823 | President & CEO, Carrier | February 12, 2020 | February 14, 2020 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
BOEING CO
Report date July 01, 2026 · Filed July 06, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Phantom Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 7,675.802 |
Reported balance
After 2026-07-01 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-07-01 · Grant · Acquired 383 · Balance 7,675.802 F1: Phantom stock units are convertible into common stock on a 1-for-1 basis. F2: Phantom stock units awarded or acquired in lieu of director cash compensation. F3: Pursuant to The Deferred Compensation Plan for Directors of The Boeing Company, phantom stock units are distributed as shares of common stock after the reporting person's termination of services as a director. |
Filing footnotes · ownership attribution and instrument terms
F1: Phantom stock units are convertible into common stock on a 1-for-1 basis.
F2: Phantom stock units awarded or acquired in lieu of director cash compensation.
F3: Pursuant to The Deferred Compensation Plan for Directors of The Boeing Company, phantom stock units are distributed as shares of common stock after the reporting person's termination of services as a director.
CARRIER GLOBAL Corp
Report date February 01, 2026 · Filed February 04, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 589,549 |
Ending reported balance
After 2026-02-01 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2026-02-01 · Grant · Acquired 90,872 · Balance 625,346 F1: The acquistion of shares of Carrier common stock represents the vesting of performance share units (PSUs) previously awarded on February 1, 2023 to the reporting person under the Carrier Global Corporation 2020 Long-Term Incentive Plan. Each PSU has a value equal to one share of Carrier Global Corporation common stock. These PSUs vested upon the achievement of the pre-established performance targets for earnings per share growth and total shareholder return relative to a subset of industrial companies in the S&P 500 index over a three-year time period. Row 2 · 2026-02-01 · Tax withholding · Disposed 35,797 · Balance 589,549 |
| Common StockSEC Table I · non-derivative | IndirectBy Family Trust | 176,397 |
Reported balance
Holding disclosure · report date 2026-02-01 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 176,397 |
| Common StockSEC Table I · non-derivative | IndirectBy Spouse's Trust | 102,374 |
Reported balance
Holding disclosure · report date 2026-02-01 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 102,374 |
Filing footnotes · ownership attribution and instrument terms
F1: The acquistion of shares of Carrier common stock represents the vesting of performance share units (PSUs) previously awarded on February 1, 2023 to the reporting person under the Carrier Global Corporation 2020 Long-Term Incentive Plan. Each PSU has a value equal to one share of Carrier Global Corporation common stock. These PSUs vested upon the achievement of the pre-established performance targets for earnings per share growth and total shareholder return relative to a subset of industrial companies in the S&P 500 index over a three-year time period.
RTX Corp
Report date February 12, 2020 · Filed February 14, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 5,965 |
Ending reported balance
After 2020-02-12 transaction · row 6
6 source rows · reconciled sequenceRow 1 · 2020-02-12 · Exercise / conversion · Acquired 37,467 · Balance 56,084 F1: The Stock Appreciation Rights (SARs) were settled in shares in accordance with terms of the award. For Section 16 reporting purposes, the exercise of SARs for stock is treated as an exempt acquisition of the shares underlying the SARs at the exercise price per share specified in the award of SARs and a simultaneous sale back to the issuer of a number of the underlying shares having a value, based on the market price of the issuer's stock on the date of the exercise, equal to the product of the number of underlying SARs times the exercise price per share. Row 2 · 2020-02-12 · Exercise / conversion · Acquired 24,500 · Balance 80,584 F1: The Stock Appreciation Rights (SARs) were settled in shares in accordance with terms of the award. For Section 16 reporting purposes, the exercise of SARs for stock is treated as an exempt acquisition of the shares underlying the SARs at the exercise price per share specified in the award of SARs and a simultaneous sale back to the issuer of a number of the underlying shares having a value, based on the market price of the issuer's stock on the date of the exercise, equal to the product of the number of underlying SARs times the exercise price per share. Row 3 · 2020-02-12 · Exercise / conversion · Acquired 18,900 · Balance 99,484 F1: The Stock Appreciation Rights (SARs) were settled in shares in accordance with terms of the award. For Section 16 reporting purposes, the exercise of SARs for stock is treated as an exempt acquisition of the shares underlying the SARs at the exercise price per share specified in the award of SARs and a simultaneous sale back to the issuer of a number of the underlying shares having a value, based on the market price of the issuer's stock on the date of the exercise, equal to the product of the number of underlying SARs times the exercise price per share. Row 4 · 2020-02-12 · Exercise / conversion · Acquired 7,569 · Balance 107,053 F1: The Stock Appreciation Rights (SARs) were settled in shares in accordance with terms of the award. For Section 16 reporting purposes, the exercise of SARs for stock is treated as an exempt acquisition of the shares underlying the SARs at the exercise price per share specified in the award of SARs and a simultaneous sale back to the issuer of a number of the underlying shares having a value, based on the market price of the issuer's stock on the date of the exercise, equal to the product of the number of underlying SARs times the exercise price per share. Row 5 · 2020-02-12 · Disposition to issuer · Disposed 49,597 · Balance 57,456 Row 6 · 2020-02-12 · Sale · Disposed 51,491 · Balance 5,965 F2: The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $153.56 to $155.29 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. |
| Stock Appreciation RightSEC Table II · derivative / convertible security · Conversion / exercise price $84.00 · Expires 2023-01-01 | Direct | 0 |
Reported balance
After 2020-02-12 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2020-02-12 · Exercise / conversion · Disposed 18,900 · Balance 0 |
| Stock Appreciation RightSEC Table II · derivative / convertible security · Conversion / exercise price $112.49 · Expires 2024-01-01 | Direct | 0 |
Reported balance
After 2020-02-12 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2020-02-12 · Exercise / conversion · Disposed 24,500 · Balance 0 |
| Stock Appreciation RightSEC Table II · derivative / convertible security · Conversion / exercise price $74.79 · Expires 2022-07-31 | Direct | 0 |
Reported balance
After 2020-02-12 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2020-02-12 · Exercise / conversion · Disposed 7,569 · Balance 0 |
| Stock Appreciation RightSEC Table II · derivative / convertible security · Conversion / exercise price $74.79 · Expires 2022-07-31 | Direct | 0 |
Reported balance
After 2020-02-12 transaction · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 12 · 2020-02-12 · Exercise / conversion · Disposed 37,467 · Balance 0 |
| Common StockSEC Table I · non-derivative | IndirectBy Savings Plan Trustee | 2,810 |
Reported balance
Holding disclosure · report date 2020-02-12 · row 7
Holding and transaction disclosures are not merged.
1 source rowRow 7 · Balance 2,810 |
| Common StockSEC Table I · non-derivative | IndirectBy Spouse's Trust | 12,893 |
Reported balance
Holding disclosure · report date 2020-02-12 · row 8
Holding and transaction disclosures are not merged.
1 source rowRow 8 · Balance 12,893 |
Filing footnotes · ownership attribution and instrument terms
F1: The Stock Appreciation Rights (SARs) were settled in shares in accordance with terms of the award. For Section 16 reporting purposes, the exercise of SARs for stock is treated as an exempt acquisition of the shares underlying the SARs at the exercise price per share specified in the award of SARs and a simultaneous sale back to the issuer of a number of the underlying shares having a value, based on the market price of the issuer's stock on the date of the exercise, equal to the product of the number of underlying SARs times the exercise price per share.
F2: The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $153.56 to $155.29 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.
Transaction history
JSON APIPurchases/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 | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| January 03, 2023 Filed Jan 6, 2023 00:27 UTC | BOEING CO BA · Entity 2862 | GrantPhantom Stock Units · Derivative | 429.956 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-23-000429 · doc4.xml · derivative · entry 1 Gitlin David L. · CIK 0001631473 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,748.824 Underlying: Common Stock · 429.956 shares Expires not disclosed F1 · derivative.exercise_price: Phantom stock units are convertible into common stock on a 1-for-1 basis. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: Pursuant to The Deferred Compensation Plan for Directors of The Boeing Company, phantom stock units are distributed as shares of common stock after the reporting person's termination of services as a director. F3 · derivative.expiration_date: Pursuant to The Deferred Compensation Plan for Directors of The Boeing Company, phantom stock units are distributed as shares of common stock after the reporting person's termination of services as a director. Read SEC document |
| October 03, 2022 Filed Oct 5, 2022 22:49 UTC | BOEING CO BA · Entity 2862 | GrantPhantom Stock Units · Derivative | 674.941 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-22-010834 · doc4.xml · derivative · entry 1 Gitlin David L. · CIK 0001631473 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,318.868 Underlying: Common Stock · 674.941 shares Expires not disclosed F1 · derivative.exercise_price: Phantom stock units are convertible into common stock on a 1-for-1 basis. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: Pursuant to The Deferred Compensation Plan for Directors of The Boeing Company, phantom stock units are distributed as shares of common stock after the reporting person's termination of services as a director. F3 · derivative.expiration_date: Pursuant to The Deferred Compensation Plan for Directors of The Boeing Company, phantom stock units are distributed as shares of common stock after the reporting person's termination of services as a director. Read SEC document |
| July 01, 2022 Filed Jul 7, 2022 00:17 UTC | BOEING CO BA · Entity 2862 | GrantPhantom Stock Units · Derivative | 643.927 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-22-008684 · doc4.xml · derivative · entry 1 Gitlin David L. · CIK 0001631473 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 643.927 Underlying: Common Stock · 643.927 shares Expires not disclosed F1 · derivative.exercise_price: Phantom stock units are convertible into common stock on a 1-for-1 basis. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: Pursuant to The Deferred Compensation Plan for Directors of The Boeing Company, phantom stock units are distributed as shares of common stock after the reporting person's termination of services as a director. F3 · derivative.expiration_date: Pursuant to The Deferred Compensation Plan for Directors of The Boeing Company, phantom stock units are distributed as shares of common stock after the reporting person's termination of services as a director. Read SEC document |
| February 05, 2022 Filed Feb 8, 2022 23:32 UTC | CARRIER GLOBAL Corp CARR · Entity 3043 | Exercise / conversionRSU P · Derivative | 133,556 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-22-001646 · 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 · 133,556 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 Performance Stock Units (PSUs) on February 5, 2019, 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. F3 · derivative.expiration_date: The reporting person was originally granted Performance Stock Units (PSUs) on February 5, 2019, 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. Read SEC document |
| February 05, 2022 Filed Feb 8, 2022 23:32 UTC | CARRIER GLOBAL Corp CARR · Entity 3043 | Tax withholdingCommon Stock | 46,687 | $45.84 | $2,140,132.08 |
DisclosureSEC source: 0001225208-22-001646 · doc4.xml · nonDerivative · entry 2 Gitlin David L. · CIK 0001631473 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,784 Read SEC document |
| February 05, 2022 Filed Feb 8, 2022 23:32 UTC | CARRIER GLOBAL Corp CARR · Entity 3043 | Exercise / conversionCommon Stock | 133,556 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-22-001646 · doc4.xml · nonDerivative · entry 1 Gitlin David L. · CIK 0001631473 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 136,471 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. Read SEC document |
| February 02, 2022 Filed Feb 4, 2022 23:04 UTC | CARRIER GLOBAL Corp CARR · Entity 3043 | GrantStock Appreciation Right · Derivative | 421,475 | $0.00 Strike: $47.51 | $0.00 |
DisclosureSEC source: 0001225208-22-001517 · doc4.xml · derivative · entry 1 Gitlin David L. · CIK 0001631473 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 421,475 Underlying: Common Stock · 421,475 shares Expires 2032-02-01 F1 · balance_after: The reporting person was also awarded 95,405 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. Read SEC document |
| December 01, 2021 Filed Dec 3, 2021 21:18 UTC | CARRIER GLOBAL Corp CARR · Entity 3043 | Exercise / conversionRestricted Stock Unit RSU · Derivative | 3,504 | $0.00 Strike: $16.55 | $0.00 |
DisclosureSEC source: 0001225208-21-014456 · doc4.xml · derivative · entry 8 Gitlin David L. · CIK 0001631473 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,417 Underlying: Common Stock · 3,504 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 granted RSUs on May 14, 2020. 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 granted RSUs on May 14, 2020. 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 01, 2021 Filed Dec 3, 2021 21:18 UTC | CARRIER GLOBAL Corp CARR · Entity 3043 | Exercise / conversionRestricted Stock Unit RSU · Derivative | 3,739 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-21-014456 · doc4.xml · derivative · entry 7 Gitlin David L. · CIK 0001631473 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 96,481 Underlying: Common Stock · 3,739 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 (UTC), 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 (UTC), 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. Read SEC document |
| December 01, 2021 Filed Dec 3, 2021 21:18 UTC | CARRIER GLOBAL Corp CARR · Entity 3043 | Tax withholdingCommon Stock | 3,739 | $53.60 | $200,410.40 |
DisclosureSEC source: 0001225208-21-014456 · doc4.xml · nonDerivative · entry 4 Gitlin David L. · CIK 0001631473 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,915 Read SEC document |
| December 01, 2021 Filed Dec 3, 2021 21:18 UTC | CARRIER GLOBAL Corp CARR · Entity 3043 | Tax withholdingCommon Stock | 3,504 | $53.60 | $187,814.40 |
DisclosureSEC source: 0001225208-21-014456 · doc4.xml · nonDerivative · entry 3 Gitlin David L. · CIK 0001631473 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,654 Read SEC document |
| December 01, 2021 Filed Dec 3, 2021 21:18 UTC | CARRIER GLOBAL Corp CARR · Entity 3043 | Exercise / conversionCommon Stock | 3,504 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-21-014456 · doc4.xml · nonDerivative · entry 2 Gitlin David L. · CIK 0001631473 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,158 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, 2021 Filed Dec 3, 2021 21:18 UTC | CARRIER GLOBAL Corp CARR · Entity 3043 | Exercise / conversionCommon Stock | 3,739 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-21-014456 · doc4.xml · nonDerivative · entry 1 Gitlin David L. · CIK 0001631473 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,654 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 |
| February 10, 2021 Filed Feb 12, 2021 02:06 UTC | CARRIER GLOBAL Corp CARR · Entity 3043 | Exercise / conversionRestricted Stock Unit RSU · Derivative | 132 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-21-002273 · doc4.xml · derivative · entry 7 Gitlin David L. · CIK 0001631473 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 132 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of Carrier common stock. F2 · derivative.exercise_date: The reporting person was granted RSUs on January 2, 2018 by United Technologies Corporation, the former parent company of the issuer. And on January 5, 2021, the reporting person reported that the previously awarded RSUs, including dividend equivalents, vested and converted to Carrier common stock. Those previously awarded RSUs were entitled to additional dividend equivalents that were not payable until February 10, 2021. F2 · derivative.expiration_date: The reporting person was granted RSUs on January 2, 2018 by United Technologies Corporation, the former parent company of the issuer. And on January 5, 2021, the reporting person reported that the previously awarded RSUs, including dividend equivalents, vested and converted to Carrier common stock. Those previously awarded RSUs were entitled to additional dividend equivalents that were not payable until February 10, 2021. Read SEC document |
| February 10, 2021 Filed Feb 12, 2021 02:06 UTC | CARRIER GLOBAL Corp CARR · Entity 3043 | GrantRestricted Stock Unit RSU · Derivative | 132 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-21-002273 · doc4.xml · derivative · entry 6 Gitlin David L. · CIK 0001631473 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 132 Underlying: Common Stock · 132 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of Carrier common stock. F2 · derivative.exercise_date: The reporting person was granted RSUs on January 2, 2018 by United Technologies Corporation, the former parent company of the issuer. And on January 5, 2021, the reporting person reported that the previously awarded RSUs, including dividend equivalents, vested and converted to Carrier common stock. Those previously awarded RSUs were entitled to additional dividend equivalents that were not payable until February 10, 2021. F2 · derivative.expiration_date: The reporting person was granted RSUs on January 2, 2018 by United Technologies Corporation, the former parent company of the issuer. And on January 5, 2021, the reporting person reported that the previously awarded RSUs, including dividend equivalents, vested and converted to Carrier common stock. Those previously awarded RSUs were entitled to additional dividend equivalents that were not payable until February 10, 2021. Read SEC document |
| February 10, 2021 Filed Feb 12, 2021 02:06 UTC | CARRIER GLOBAL Corp CARR · Entity 3043 | Tax withholdingCommon Stock | 49 | $37.19 | $1,822.31 |
DisclosureSEC source: 0001225208-21-002273 · doc4.xml · nonDerivative · entry 2 Gitlin David L. · CIK 0001631473 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 83 Read SEC document |
| February 10, 2021 Filed Feb 12, 2021 02:06 UTC | CARRIER GLOBAL Corp CARR · Entity 3043 | Exercise / conversionCommon Stock | 132 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-21-002273 · doc4.xml · nonDerivative · entry 1 Gitlin David L. · CIK 0001631473 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 132 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of Carrier common stock. Read SEC document |
| February 04, 2021 Filed Feb 8, 2021 21:43 UTC | CARRIER GLOBAL Corp CARR · Entity 3043 | GrantStock Appreciation Right · Derivative | 440,315 | $38.33 Strike: $38.33 | $16,877,273.95 |
DisclosureSEC source: 0001225208-21-001848 · doc4.xml · derivative · entry 5 Gitlin David L. · CIK 0001631473 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 440,315 Underlying: Common Stock · 440,315 shares Expires 2031-02-03 F1 · balance_after: The reporting person was also awarded 113,670 Performance Share Units (PSUs) under the Carrier Global Corporation Long-Term Incentive Plan. Each PSU has a value equal to one share of Carrier common stock and will only vest if Carrier achieves pre-established performance targets for earnings per share growth and total shareowner return relative to a subset of industrial companies in the S&P 500 index over a three-year time period. Read SEC document |
| January 02, 2021 Filed Jan 5, 2021 23:44 UTC | CARRIER GLOBAL Corp CARR · Entity 3043 | Exercise / conversionRSU P · Derivative | 114,611 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-21-000366 · doc4.xml · derivative · entry 9 Gitlin David L. · CIK 0001631473 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 114,611 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.expiration_date: The reporting person was originally granted Performance Stock Units (PSUs) on January 2, 2018, by UTC. These PSUs were converted to RSUs in connection with the spin-off of the issuer by UTC. F4 · derivative.underlying_shares: The reporting person was originally granted Performance Stock Units (PSUs) on January 2, 2018, by UTC. These PSUs were converted to RSUs in connection with the spin-off of the issuer by UTC. Read SEC document |
| January 02, 2021 Filed Jan 5, 2021 23:44 UTC | CARRIER GLOBAL Corp CARR · Entity 3043 | Exercise / conversionRestricted Stock Unit RSU · Derivative | 41,095 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-21-000366 · doc4.xml · derivative · entry 8 Gitlin David L. · CIK 0001631473 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 41,095 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of Carrier common stock. F3 · derivative.expiration_date: The reporting person was granted these RSUs on January 2, 2018, by United Technologies Corporation (UTC), the former parent company of the issuer. F3 · derivative.underlying_shares: The reporting person was granted these RSUs on January 2, 2018, by United Technologies Corporation (UTC), the former parent company of the issuer. Read SEC document |
| January 02, 2021 Filed Jan 5, 2021 23:44 UTC | CARRIER GLOBAL Corp CARR · Entity 3043 | Tax withholdingCommon Stock | 44,366 | $37.03 | $1,642,872.98 |
DisclosureSEC source: 0001225208-21-000366 · doc4.xml · nonDerivative · entry 4 Gitlin David L. · CIK 0001631473 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 99,482 Read SEC document |
| January 02, 2021 Filed Jan 5, 2021 23:44 UTC | CARRIER GLOBAL Corp CARR · Entity 3043 | Tax withholdingCommon Stock | 11,858 | $37.03 | $439,101.74 |
DisclosureSEC source: 0001225208-21-000366 · doc4.xml · nonDerivative · entry 3 Gitlin David L. · CIK 0001631473 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 143,848 Read SEC document |
| January 02, 2021 Filed Jan 5, 2021 23:44 UTC | CARRIER GLOBAL Corp CARR · Entity 3043 | Exercise / conversionCommon Stock | 41,095 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-21-000366 · doc4.xml · nonDerivative · entry 2 Gitlin David L. · CIK 0001631473 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 155,706 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 |
| January 02, 2021 Filed Jan 5, 2021 23:44 UTC | CARRIER GLOBAL Corp CARR · Entity 3043 | Exercise / conversionCommon Stock | 114,611 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-21-000366 · doc4.xml · nonDerivative · entry 1 Gitlin David L. · CIK 0001631473 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 114,611 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 |
| October 12, 2020 Filed Oct 14, 2020 20:18 UTC | CARRIER GLOBAL Corp CARR · Entity 3043 | 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 | CARRIER GLOBAL Corp CARR · Entity 3043 | 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 | CARRIER GLOBAL Corp CARR · Entity 3043 | 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 | CARRIER GLOBAL Corp CARR · Entity 3043 | 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 |
| May 18, 2020 Filed May 18, 2020 21:09 UTC | CARRIER GLOBAL Corp CARR · Entity 3043 | 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 | CARRIER GLOBAL Corp CARR · Entity 3043 | 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 14, 2020 Filed May 18, 2020 22:11 UTC | CARRIER GLOBAL Corp CARR · Entity 3043 | 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 | CARRIER GLOBAL Corp CARR · Entity 3043 | 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 | CARRIER GLOBAL Corp CARR · Entity 3043 | 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 |
| February 12, 2020 Filed Feb 14, 2020 21:25 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionStock Appreciation Right · Derivative | 37,467 | $0.00 Strike: $74.79 | $0.00 |
DisclosureSEC source: 0001225208-20-002375 · doc4.xml · derivative · entry 12 Gitlin David L. · CIK 0001631473 · President & CEO, Carrier 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 37,467 shares Expires 2022-07-31 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. Read SEC document |
| February 12, 2020 Filed Feb 14, 2020 21:25 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionStock Appreciation Right · Derivative | 7,569 | $0.00 Strike: $74.79 | $0.00 |
DisclosureSEC source: 0001225208-20-002375 · doc4.xml · derivative · entry 11 Gitlin David L. · CIK 0001631473 · President & CEO, Carrier 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,569 shares Expires 2022-07-31 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. Read SEC document |
| February 12, 2020 Filed Feb 14, 2020 21:25 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionStock Appreciation Right · Derivative | 24,500 | $0.00 Strike: $112.49 | $0.00 |
DisclosureSEC source: 0001225208-20-002375 · doc4.xml · derivative · entry 10 Gitlin David L. · CIK 0001631473 · President & CEO, Carrier 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 24,500 shares Expires 2024-01-01 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. Read SEC document |
| February 12, 2020 Filed Feb 14, 2020 21:25 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionStock Appreciation Right · Derivative | 18,900 | $0.00 Strike: $84.00 | $0.00 |
DisclosureSEC source: 0001225208-20-002375 · doc4.xml · derivative · entry 9 Gitlin David L. · CIK 0001631473 · President & CEO, Carrier 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 18,900 shares Expires 2023-01-01 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. Read SEC document |
| February 12, 2020 Filed Feb 14, 2020 21:25 UTC | RTX Corp UTX · Entity 2823 | SaleCommon Stock | 51,491 | $154.12 | $7,935,947.39 |
DisclosureSEC source: 0001225208-20-002375 · doc4.xml · nonDerivative · entry 6 Gitlin David L. · CIK 0001631473 · President & CEO, Carrier 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,965 F2 · price: The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $153.56 to $155.29 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. Read SEC document |
| February 12, 2020 Filed Feb 14, 2020 21:25 UTC | RTX Corp UTX · Entity 2823 | Disposition to issuerCommon Stock | 49,597 | $155.48 | $7,711,341.56 |
DisclosureSEC source: 0001225208-20-002375 · doc4.xml · nonDerivative · entry 5 Gitlin David L. · CIK 0001631473 · President & CEO, Carrier 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,456 Read SEC document |
| February 12, 2020 Filed Feb 14, 2020 21:25 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionCommon Stock | 7,569 | $74.79 | $566,085.51 |
DisclosureSEC source: 0001225208-20-002375 · doc4.xml · nonDerivative · entry 4 Gitlin David L. · CIK 0001631473 · President & CEO, Carrier 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 107,053 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 · shares: The Stock Appreciation Rights (SARs) were settled in shares in accordance with terms of the award. For Section 16 reporting purposes, the exercise of SARs for stock is treated as an exempt acquisition of the shares underlying the SARs at the exercise price per share specified in the award of SARs and a simultaneous sale back to the issuer of a number of the underlying shares having a value, based on the market price of the issuer's stock on the date of the exercise, equal to the product of the number of underlying SARs times the exercise price per share. Read SEC document |
| February 12, 2020 Filed Feb 14, 2020 21:25 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionCommon Stock | 18,900 | $84.00 | $1,587,600.00 |
DisclosureSEC source: 0001225208-20-002375 · doc4.xml · nonDerivative · entry 3 Gitlin David L. · CIK 0001631473 · President & CEO, Carrier 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 99,484 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 · shares: The Stock Appreciation Rights (SARs) were settled in shares in accordance with terms of the award. For Section 16 reporting purposes, the exercise of SARs for stock is treated as an exempt acquisition of the shares underlying the SARs at the exercise price per share specified in the award of SARs and a simultaneous sale back to the issuer of a number of the underlying shares having a value, based on the market price of the issuer's stock on the date of the exercise, equal to the product of the number of underlying SARs times the exercise price per share. Read SEC document |
| February 12, 2020 Filed Feb 14, 2020 21:25 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionCommon Stock | 24,500 | $112.49 | $2,756,005.00 |
DisclosureSEC source: 0001225208-20-002375 · doc4.xml · nonDerivative · entry 2 Gitlin David L. · CIK 0001631473 · President & CEO, Carrier 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,584 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 · shares: The Stock Appreciation Rights (SARs) were settled in shares in accordance with terms of the award. For Section 16 reporting purposes, the exercise of SARs for stock is treated as an exempt acquisition of the shares underlying the SARs at the exercise price per share specified in the award of SARs and a simultaneous sale back to the issuer of a number of the underlying shares having a value, based on the market price of the issuer's stock on the date of the exercise, equal to the product of the number of underlying SARs times the exercise price per share. Read SEC document |
| February 12, 2020 Filed Feb 14, 2020 21:25 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionCommon Stock | 37,467 | $74.79 | $2,802,156.93 |
DisclosureSEC source: 0001225208-20-002375 · doc4.xml · nonDerivative · entry 1 Gitlin David L. · CIK 0001631473 · President & CEO, Carrier 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,084 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 · shares: The Stock Appreciation Rights (SARs) were settled in shares in accordance with terms of the award. For Section 16 reporting purposes, the exercise of SARs for stock is treated as an exempt acquisition of the shares underlying the SARs at the exercise price per share specified in the award of SARs and a simultaneous sale back to the issuer of a number of the underlying shares having a value, based on the market price of the issuer's stock on the date of the exercise, equal to the product of the number of underlying SARs times the exercise price per share. Read SEC document |
| February 10, 2020 Filed Feb 12, 2020 21:29 UTC | RTX Corp UTX · Entity 2823 | Tax withholdingCommon Stock | 8,210 | $156.55 | $1,285,275.50 |
DisclosureSEC source: 0001225208-20-002025 · doc4.xml · nonDerivative · entry 2 Gitlin David L. · CIK 0001631473 · President & CEO, Carrier 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,617 Read SEC document |
| February 10, 2020 Filed Feb 12, 2020 21:29 UTC | RTX Corp UTX · Entity 2823 | GrantCommon Stock | 20,862 | $156.55 | $3,265,946.10 |
DisclosureSEC source: 0001225208-20-002025 · doc4.xml · nonDerivative · entry 1 Gitlin David L. · CIK 0001631473 · President & CEO, Carrier 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,827 F1 · shares: The acquisition of shares of UTC common stock represents the vesting of performance share units (PSUs) previously awarded on January 3, 2017 to the reporting person under the United Technologies Corporation Long-Term Incentive Plan. Each PSU has a value equal to one share of UTC Common Stock. These PSUs vest solely upon achievement of pre-established performance targets for UTC's return on invested capital, earnings per share growth and total shareholder return relative to the S&P 500 index over a three-year time period. The performance criteria were satisfied at the 114% level. Read SEC document |
| February 04, 2020 Filed Feb 6, 2020 21:28 UTC | RTX Corp UTX · Entity 2823 | GrantStock Appreciation Right · Derivative | 91,000 | $153.00 Strike: $153.00 | $13,923,000.00 |
DisclosureSEC source: 0001225208-20-001785 · doc4.xml · derivative · entry 5 Gitlin David L. · CIK 0001631473 · President & CEO, Carrier 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 91,000 Underlying: Common Stock · 91,000 shares Expires 2030-02-03 Read SEC document |
| February 04, 2020 Filed Feb 6, 2020 21:28 UTC | RTX Corp UTX · Entity 2823 | GrantRestricted Stock Units RSU · Derivative | 16,400 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001225208-20-001785 · doc4.xml · derivative · entry 4 Gitlin David L. · CIK 0001631473 · President & CEO, Carrier 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,400 Underlying: Common Stock · 16,400 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 UTC Common Stock. 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 UTC Common Stock. 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 UTC Common Stock. Read SEC document |
| January 03, 2020 Filed Jan 7, 2020 21:30 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionRestricted Stock Units RSU · Derivative | 7,917 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-20-000633 · doc4.xml · derivative · entry 5 Gitlin David L. · CIK 0001631473 · President & CEO, Carrier 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,917 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 UTC Common Stock. F2 · derivative.expiration_date: On January 3, 2017, the reporting person was granted 7,400 RSUs, which included the right to receive dividend equivalents. On January 3, 2020, the third anniversary of the grant date, 7,917 RSUs, which included accumulated dividend equivalents, vested. Read SEC document |
| January 03, 2020 Filed Jan 7, 2020 21:30 UTC | RTX Corp UTX · Entity 2823 | Tax withholdingCommon Stock | 1,952 | $153.35 | $299,339.20 |
DisclosureSEC source: 0001225208-20-000633 · doc4.xml · nonDerivative · entry 2 Gitlin David L. · CIK 0001631473 · President & CEO, Carrier 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,965 Read SEC document |
| January 03, 2020 Filed Jan 7, 2020 21:30 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionCommon Stock | 7,917 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-20-000633 · doc4.xml · nonDerivative · entry 1 Gitlin David L. · CIK 0001631473 · President & CEO, Carrier 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,917 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), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of UTC Common Stock. 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.