GARNIER JEAN PIERRE

SEC source: 0001184175-26-000002 · form4-06122026_080614.xml · derivative · entry 1

GARNIER JEAN PIERRE · CIK 0001184175 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,000

Underlying: Common Stock · 22,000 shares

Expires 2036-06-09

F1 · derivative.exercise_date: The entire option award shall vest on the earlier of: (i) the date of the next annual meeting of the Issuer's stockholders or (ii) the one year anniversary of the grant date, subject to the reporting person's continued service to the Issuer on the applicable vesting date.

SEC source: 0001225208-26-004559 · doc4.xml · derivative · entry 1

GARNIER JEAN PIERRE · CIK 0001184175 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 139,824.5839

Underlying: Common Stock · 3,330.4868 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: 0001415889-25-016281 · form4-06092025_080653.xml · derivative · entry 1

GARNIER JEAN PIERRE · CIK 0001184175 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,000

Underlying: Common Stock · 22,000 shares

Expires 2035-06-04

F1 · derivative.exercise_date: The entire option award shall vest on the earlier of: (i) the date of the next annual meeting of the Issuer's stockholders or (ii) the one year anniversary of the grant date, subject to the reporting person's continued service to the Issuer on the applicable vesting date.

SEC source: 0001225208-25-004210 · doc4.xml · derivative · entry 1

GARNIER JEAN PIERRE · CIK 0001184175 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 134,527.0459

Underlying: Common Stock · 3,208.8201 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: 0001415889-24-024041 · form4-09272024_080926.xml · derivative · entry 1

GARNIER JEAN PIERRE · CIK 0001184175 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2034-09-24

F1 · derivative.exercise_date: The entire option award shall vest on the earlier of: (i) the date of the next annual meeting of the Issuer's stockholders or (ii) the one year anniversary of the grant date, subject to the reporting person's continued service to the Issuer on the applicable vesting date.

SEC source: 0001415889-24-024041 · form4-09272024_080926.xml · derivative · entry 2

GARNIER JEAN PIERRE · CIK 0001184175 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 141,609

Underlying: Common Stock · 141,609 shares

Expires 2034-08-18

F2 · date: This option award represents an equity security previously reported on the reporting person's Form 3, which was acquired through an exempt transaction with the Issuer prior to the Issuer registering a class of equity securities under Section 12 of the Securities Exchange Act of 1934, as amended. It is reported herein as a transaction pursuant to Rule 16a-2(a).

F3 · derivative.exercise_date: The option vested or vests as to 1/36th of the total award monthly, with the first tranche vesting on September 20, 2024, and each subsequent tranche vesting on the monthly anniversary thereof, subject to the reporting person's continued service to the Issuer on each vesting date. Additionally, the entire award is exercisable at any time pursuant to an early exercise feature of the option award.

SEC source: 0001225208-24-005158 · doc4.xml · derivative · entry 1

GARNIER JEAN PIERRE · CIK 0001184175 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 129,763.7298

Underlying: Common Stock · 3,484.4511 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: 0001225208-23-004940 · doc4.xml · derivative · entry 1

GARNIER JEAN PIERRE · CIK 0001184175 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 124,444.5261

Underlying: Common Stock · 6,831.2032 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: 0000899243-22-028640 · doc4.xml · derivative · entry 3

GARNIER JEAN PIERRE · CIK 0001184175 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,000 shares

Expires 2032-01-14

F3 · price: Pursuant to the Merger Agreement, at the Effective Time, these options automatically vested and were cancelled, by virtue of the Merger and without any action on the part of the Reporting Person, and the Reporting Person was entitled to receive (without interest) (A) an amount in cash (less applicable Tax withholdings) equal to the product of (x) the total number of Shares subject to such option immediately prior to the effective time multiplied by (y) the excess, if any, of the Cash Consideration over the applicable exercise price per Share under such option, and (B) one CVR for each Share subject thereto.

F3 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, these options automatically vested and were cancelled, by virtue of the Merger and without any action on the part of the Reporting Person, and the Reporting Person was entitled to receive (without interest) (A) an amount in cash (less applicable Tax withholdings) equal to the product of (x) the total number of Shares subject to such option immediately prior to the effective time multiplied by (y) the excess, if any, of the Cash Consideration over the applicable exercise price per Share under such option, and (B) one CVR for each Share subject thereto.

SEC source: 0000899243-22-028640 · doc4.xml · nonDerivative · entry 2

GARNIER JEAN PIERRE · CIK 0001184175 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F2 · kind: Pursuant to the Merger Agreement, as of the Effective Time, these shares were converted into the right to receive the consideration per Share of (i) $10.00, payable to the holder thereof of cash, without interest but subject to reduction for any applicable withholding Taxes payable in respect thereof, and (ii) one CVR per share.

F2 · price: Pursuant to the Merger Agreement, as of the Effective Time, these shares were converted into the right to receive the consideration per Share of (i) $10.00, payable to the holder thereof of cash, without interest but subject to reduction for any applicable withholding Taxes payable in respect thereof, and (ii) one CVR per share.

SEC source: 0000899243-22-028640 · doc4.xml · nonDerivative · entry 1

GARNIER JEAN PIERRE · CIK 0001184175 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,500

F1 · kind: Pursuant to the terms of the Merger Agreement and the Tender Offer Statement on Schedule TO filed by Ginger Merger Sub, Inc., these Shares were tendered and disposed of at the Acceptance Time in exchange for the right to receive the consideration per Share of (i) $10.00, payable to the holder thereof of cash, without interest but subject to reduction for any applicable withholding Taxes payable in respect thereof, and (ii) one CVR per share.

F1 · price: Pursuant to the terms of the Merger Agreement and the Tender Offer Statement on Schedule TO filed by Ginger Merger Sub, Inc., these Shares were tendered and disposed of at the Acceptance Time in exchange for the right to receive the consideration per Share of (i) $10.00, payable to the holder thereof of cash, without interest but subject to reduction for any applicable withholding Taxes payable in respect thereof, and (ii) one CVR per share.

SEC source: 0001225208-22-005883 · doc4.xml · derivative · entry 1

GARNIER JEAN PIERRE · CIK 0001184175 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,859.3597

Underlying: Common Stock · 7,994.186 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: 0001209191-22-004783 · doc4.xml · derivative · entry 2

GARNIER JEAN PIERRE · CIK 0001184175 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2032-01-14

F2 · derivative.exercise_date: This option vests in full on the first anniversary of the grant date, subject to continued service with RDUS through such date.

SEC source: 0001209191-22-004783 · doc4.xml · nonDerivative · entry 1

GARNIER JEAN PIERRE · CIK 0001184175 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,800

F1 · price: The shares were acquired pursuant to a restricted stock unit award under the 2018 Stock Option and Incentive Plan. Each restricted stock unit represents a contingent right to receive one share of RDUS common stock. The restricted stock units vest in full on the first anniversary of the award date, subject to continued service with RDUS through such date.

SEC source: 0001225208-21-006868 · doc4.xml · derivative · entry 1

GARNIER JEAN PIERRE · CIK 0001184175 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 106,779.1787

Underlying: Common Stock · 8,320.0365 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: 0001209191-21-013338 · doc4.xml · derivative · entry 2

GARNIER JEAN PIERRE · CIK 0001184175 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2031-02-22

F2 · derivative.exercise_date: This option vests in full on the first anniversary of the grant date, subject to continued service with RDUS through such date.

SEC source: 0001209191-21-013338 · doc4.xml · nonDerivative · entry 1

GARNIER JEAN PIERRE · CIK 0001184175 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,300

F1 · price: The shares were acquired pursuant to a restricted stock unit award under the 2018 Stock Option and Incentive Plan. Each restricted stock unit represents a contingent right to receive one share of RDUS common stock. The restricted stock units vest in full on the first anniversary of the award date, subject to continued service with RDUS through such date.

SEC source: 0001209191-21-005115 · doc4.xml · derivative · entry 1

GARNIER JEAN PIERRE · CIK 0001184175 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2031-01-21

F1 · derivative.exercise_date: This option shall vest in full on the first anniversary of the grant date or upon an earlier Change of Control (as defined in the registrant's 2018 Stock Option and Incentive Plan).

SEC source: 0001225208-20-007584 · doc4.xml · derivative · entry 1

GARNIER JEAN PIERRE · CIK 0001184175 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,684.329

Underlying: Common Stock · 19,808.9888 shares

Expires not disclosed

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

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

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

F2 · balance_after: The reporting person, who previously served as a director on the United Technologies Corporation (UTC) Board of Directors, received Carrier Deferred Stock Units (DSUs) in connection with Carrier's spinoff from UTC on April 3, 2020 that were attributable to that prior service. The total reported includes the DSUs associated with that prior service.

SEC source: 0001225208-20-008005 · doc4a.xml · derivative · entry 1

GARNIER JEAN PIERRE · CIK 0001184175 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,243.878

Underlying: Common Stock · 19,808.9888 shares

Expires not disclosed

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

F2 · date: This Form 4 is being amended to reflect additional Deferred Stock Units (DSUs) that the reporting person received in connection with Carrier's spinoff from UTC on April 3, 2020, that were inadvertently not included in the total DSUs reflected in column 5 of the original filing on May 13, 2020.

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

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

F3 · balance_after: The reporting person, who previously served as a director on the United Technologies Corporation (UTC) Board of Directors, received Carrier Deferred Stock Units (DSUs) in connection with Carrier's spinoff from UTC on April 3, 2020 that were attributable to that prior service. The total reported includes the DSUs associated with that prior service.

SEC source: 0001225208-20-010592 · doc4a.xml · derivative · entry 1

GARNIER JEAN PIERRE · CIK 0001184175 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,644.5928

Underlying: Common Stock · 19,808.9888 shares

Expires not disclosed

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

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

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

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

F2 · balance_after: The reporting person, who previously served as a director on the United Technologies Corporation (UTC) Board of Directors, received Carrier Deferred Stock Units (DSUs) in connection with Carrier's spinoff fromUTC on April 3, 2020 that were attributable to that prior service. The total reported in column 9 includes the DSUs associated with that prior service; however, the initial Form 4 and amendment that were filed on May 13, 2020 and May 19, 2020, respectively, mistakenly overstated the number of DSUs that the reporting person received for that prior service in connection with the spinoff. This amendment corrects the overstatement.

SEC source: 0001209191-20-012144 · doc4.xml · derivative · entry 2

GARNIER JEAN PIERRE · CIK 0001184175 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2030-02-20

F2 · derivative.exercise_date: The option vests in full on February 20, 2021, subject to continued service with RDUS through such date.

SEC source: 0001209191-20-012144 · doc4.xml · nonDerivative · entry 1

GARNIER JEAN PIERRE · CIK 0001184175 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,800

F1 · price: The shares were acquired pursuant to a restricted stock unit award under the 2018 Stock Option and Incentive Plan. Each restricted stock unit represents a contingent right to receive one share of RDUS common stock. The restricted stock units vest in full on February 20, 2021, subject to continued service with RDUS through such date.

SEC source: 0001225208-19-007487 · doc4.xml · derivative · entry 3

GARNIER JEAN PIERRE · CIK 0001184175 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,411.2294

Underlying: Common Stock · 2,357.163 shares

Expires not disclosed

F1 · derivative.exercise_price: The reporting person acquired these stock units under the United Technologies 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. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of 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 United Technologies 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. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of 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 United Technologies 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. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

SEC source: 0001209191-19-013701 · doc4.xml · derivative · entry 2

GARNIER JEAN PIERRE · CIK 0001184175 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2029-02-22

F2 · derivative.exercise_date: The option vests in full on February 22, 2020, subject to continued service with RDUS through such date.

SEC source: 0001209191-19-013701 · doc4.xml · nonDerivative · entry 1

GARNIER JEAN PIERRE · CIK 0001184175 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,300

F1 · price: The shares were acquired pursuant to a restricted stock unit award under the 2018 Stock Option and Incentive Plan. Each restricted stock unit represents a contingent right to receive one share of RDUS common stock. The restricted stock units vest in full on February 22, 2020, subject to continued service with RDUS through such date.

SEC source: 0001209191-19-009739 · doc4.xml · derivative · entry 2

GARNIER JEAN PIERRE · CIK 0001184175 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,800 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 represents a contingent right to receive one share of RDUS common stock.

F2 · derivative.exercise_date: The restricted stock units vested in full on February 13, 2019.

F2 · derivative.expiration_date: The restricted stock units vested in full on February 13, 2019.

SEC source: 0001209191-19-009739 · doc4.xml · nonDerivative · entry 1

GARNIER JEAN PIERRE · CIK 0001184175 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,800

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 represents a contingent right to receive one share of RDUS common stock.

SEC source: 0001225208-18-008361 · doc4.xml · derivative · entry 3

GARNIER JEAN PIERRE · CIK 0001184175 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,106.7651

Underlying: Common Stock · 2,704.9521 shares

Expires not disclosed

F1 · derivative.exercise_price: The reporting person acquired these Phantom Stock Units under the UTC 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. Upon retirement or termination, the stock units in the director's account under the Plan are converted into an equal number of shares of 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 Phantom Stock Units under the UTC 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. Upon retirement or termination, the stock units in the director's account under the Plan are converted into an equal number of shares of 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 Phantom Stock Units under the UTC 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. Upon retirement or termination, the stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

SEC source: 0001209191-18-010547 · doc4.xml · derivative · entry 2

GARNIER JEAN PIERRE · CIK 0001184175 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,800

Underlying: Common Stock · 4,800 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of RDUS common stock.

F3 · derivative.exercise_date: The restricted stock units shall vest in full on February 13, 2019.

F3 · derivative.expiration_date: The restricted stock units shall vest in full on February 13, 2019.

SEC source: 0001209191-18-010547 · doc4.xml · derivative · entry 1

GARNIER JEAN PIERRE · CIK 0001184175 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,800

Underlying: Common Stock · 8,800 shares

Expires 2028-02-12

F1 · derivative.exercise_date: The option vests in full on February 13, 2019, subject to continued service to the Issuer through such date.

SEC source: 0001225208-17-008411 · doc4.xml · derivative · entry 3

GARNIER JEAN PIERRE · CIK 0001184175 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,542.3043

Underlying: Common Stock · 2,794.0165 shares

Expires not disclosed

F1 · derivative.exercise_price: The reporting person acquired these Phantom Stock Units under the UTC 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. Upon retirement or termination, the stock units in the director's account under the Plan are converted into an equal number of shares of 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 Phantom Stock Units under the UTC 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. Upon retirement or termination, the stock units in the director's account under the Plan are converted into an equal number of shares of 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 Phantom Stock Units under the UTC 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. Upon retirement or termination, the stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

SEC source: 0001209191-17-013249 · doc4.xml · derivative · entry 1

GARNIER JEAN PIERRE · CIK 0001184175 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,500

Underlying: Common Stock · 27,500 shares

Expires 2027-02-16

F1 · derivative.exercise_date: The option vests in full on February 17, 2018, subject to continued service to the Issuer through such date.

SEC source: 0001225208-16-031875 · doc4.xml · derivative · entry 3

GARNIER JEAN PIERRE · CIK 0001184175 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,858.7648

Underlying: Common Stock · 2,899.2395 shares

Expires not disclosed

F1 · derivative.exercise_price: Consists of Phantom Stock Units acquired by the reporting person under the United Technologies Corporation Board of Directors Deferred Stock Unit Plan in respect of his/her annual retainer for services as a non-employee Director. The Plan provides for payment of all or a portion of the retainer in deferred stock units. Upon termination of service as a member of the Board of Directors, the non-employee Director will be entitled to receive a number of shares of Common Stock of United Technologies Corporation equal to the balance of Phantom Stock Units then held in his/her account under the Plan, distributed either as a lump sum or in installments, as previously elected pursuant to the Plan.

F1 · derivative.exercise_date: Consists of Phantom Stock Units acquired by the reporting person under the United Technologies Corporation Board of Directors Deferred Stock Unit Plan in respect of his/her annual retainer for services as a non-employee Director. The Plan provides for payment of all or a portion of the retainer in deferred stock units. Upon termination of service as a member of the Board of Directors, the non-employee Director will be entitled to receive a number of shares of Common Stock of United Technologies Corporation equal to the balance of Phantom Stock Units then held in his/her account under the Plan, distributed either as a lump sum or in installments, as previously elected pursuant to the Plan.

F1 · derivative.expiration_date: Consists of Phantom Stock Units acquired by the reporting person under the United Technologies Corporation Board of Directors Deferred Stock Unit Plan in respect of his/her annual retainer for services as a non-employee Director. The Plan provides for payment of all or a portion of the retainer in deferred stock units. Upon termination of service as a member of the Board of Directors, the non-employee Director will be entitled to receive a number of shares of Common Stock of United Technologies Corporation equal to the balance of Phantom Stock Units then held in his/her account under the Plan, distributed either as a lump sum or in installments, as previously elected pursuant to the Plan.

SEC source: 0001225208-15-010576 · doc4.xml · derivative · entry 3

GARNIER JEAN PIERRE · CIK 0001184175 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,098.6305

Underlying: Common Stock · 2,635.2169 shares

Expires not disclosed

F1 · derivative.exercise_price: Consists of Phantom Stock Units acquired by the reporting person under the United Technologies Corporation Board of Directors Deferred Stock Unit Plan in respect of his/her annual retainer for services as a non-employee Director. The Plan provides for payment of all or a portion of the retainer in deferred stock units. Upon termination of service as a member of the Board of Directors, the non-employee Director will be entitled to receive a number of shares of Common Stock of United Technologies Corporation equal to the balance of Phantom Stock Units then held in his/her account under the Plan, distributed either as a lump sum or in installments, as previously elected pursuant to the Plan.

F1 · derivative.exercise_date: Consists of Phantom Stock Units acquired by the reporting person under the United Technologies Corporation Board of Directors Deferred Stock Unit Plan in respect of his/her annual retainer for services as a non-employee Director. The Plan provides for payment of all or a portion of the retainer in deferred stock units. Upon termination of service as a member of the Board of Directors, the non-employee Director will be entitled to receive a number of shares of Common Stock of United Technologies Corporation equal to the balance of Phantom Stock Units then held in his/her account under the Plan, distributed either as a lump sum or in installments, as previously elected pursuant to the Plan.

F1 · derivative.expiration_date: Consists of Phantom Stock Units acquired by the reporting person under the United Technologies Corporation Board of Directors Deferred Stock Unit Plan in respect of his/her annual retainer for services as a non-employee Director. The Plan provides for payment of all or a portion of the retainer in deferred stock units. Upon termination of service as a member of the Board of Directors, the non-employee Director will be entitled to receive a number of shares of Common Stock of United Technologies Corporation equal to the balance of Phantom Stock Units then held in his/her account under the Plan, distributed either as a lump sum or in installments, as previously elected pursuant to the Plan.

SEC source: 0001225208-15-008173 · doc4.xml · derivative · entry 5

GARNIER JEAN PIERRE · CIK 0001184175 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,000 shares

Expires 2015-04-12

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: 0001225208-15-008173 · doc4.xml · nonDerivative · entry 3

GARNIER JEAN PIERRE · CIK 0001184175 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,710

SEC source: 0001225208-15-008173 · doc4.xml · nonDerivative · entry 2

GARNIER JEAN PIERRE · CIK 0001184175 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,610

SEC source: 0001225208-15-008173 · doc4.xml · nonDerivative · entry 1

GARNIER JEAN PIERRE · CIK 0001184175 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,710

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: 0001225208-14-011412 · doc4.xml · derivative · entry 3

GARNIER JEAN PIERRE · CIK 0001184175 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,041.6904

Underlying: Common Stock · 2,378.9295 shares

Expires not disclosed

F1 · derivative.exercise_price: Consists of Phantom Stock Units acquired by the reporting person in respect of his/her annual retainer for services as a non-employee director under a company program that provides for payment of all or a portion of the retainer in deferred stock units. Upon termination of services on the Board of Directors, all such Phantom Stock Units are payable in cash as a lump sum or in installments, at the election of the director.

F1 · derivative.exercise_date: Consists of Phantom Stock Units acquired by the reporting person in respect of his/her annual retainer for services as a non-employee director under a company program that provides for payment of all or a portion of the retainer in deferred stock units. Upon termination of services on the Board of Directors, all such Phantom Stock Units are payable in cash as a lump sum or in installments, at the election of the director.

F1 · derivative.expiration_date: Consists of Phantom Stock Units acquired by the reporting person in respect of his/her annual retainer for services as a non-employee director under a company program that provides for payment of all or a portion of the retainer in deferred stock units. Upon termination of services on the Board of Directors, all such Phantom Stock Units are payable in cash as a lump sum or in installments, at the election of the director.

SEC source: 0001225208-13-024312 · doc4.xml · derivative · entry 4

GARNIER JEAN PIERRE · CIK 0001184175 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,000 shares

Expires 2014-04-13

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: 0001225208-13-024312 · doc4.xml · nonDerivative · entry 2

GARNIER JEAN PIERRE · CIK 0001184175 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,710

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $110.500 to $110.511. Upon request, UTC will provide full information as to the shares sold at each separate price.

SEC source: 0001225208-13-024312 · doc4.xml · nonDerivative · entry 1

GARNIER JEAN PIERRE · CIK 0001184175 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,710

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: 0001225208-13-010874 · doc4.xml · derivative · entry 3

GARNIER JEAN PIERRE · CIK 0001184175 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,319.7255

Underlying: Common Stock · 3,056.1013 shares

Expires not disclosed

F1 · derivative.exercise_price: Consists of Phantom Stock Units acquired by the reporting person as his/her annual award and retainer for services as a non-employee director. Upon termination of service on the Board of Directors, all such Phantom Stock Units settle in shares of UTC Common Stock.

F1 · derivative.exercise_date: Consists of Phantom Stock Units acquired by the reporting person as his/her annual award and retainer for services as a non-employee director. Upon termination of service on the Board of Directors, all such Phantom Stock Units settle in shares of UTC Common Stock.

F1 · derivative.expiration_date: Consists of Phantom Stock Units acquired by the reporting person as his/her annual award and retainer for services as a non-employee director. Upon termination of service on the Board of Directors, all such Phantom Stock Units settle in shares of UTC Common Stock.

SEC source: 0001225208-13-005931 · doc4.xml · derivative · entry 4

GARNIER JEAN PIERRE · CIK 0001184175 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,000 shares

Expires 2013-04-08

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: 0001225208-13-005931 · doc4.xml · nonDerivative · entry 2

GARNIER JEAN PIERRE · CIK 0001184175 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,710

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $90.31 to $90.33. Upon request, UTC will provide full information as to the shares sold at each separate price.

SEC source: 0001225208-13-005931 · doc4.xml · nonDerivative · entry 1

GARNIER JEAN PIERRE · CIK 0001184175 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,710

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: 0001225208-12-009734 · doc4.xml · derivative · entry 3

GARNIER JEAN PIERRE · CIK 0001184175 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,745.2227

Underlying: Common Stock · 3,202.3107 shares

Expires not disclosed

F1 · derivative.exercise_price: Consists of Phantom Stock Units acquired by the reporting person as his/her annual retainer for services as a non-employee director. Upon termination of service on the Board of Directors, all such Phantom Stock Units settle in shares of UTC Common Stock.

F1 · derivative.exercise_date: Consists of Phantom Stock Units acquired by the reporting person as his/her annual retainer for services as a non-employee director. Upon termination of service on the Board of Directors, all such Phantom Stock Units settle in shares of UTC Common Stock.

F1 · derivative.expiration_date: Consists of Phantom Stock Units acquired by the reporting person as his/her annual retainer for services as a non-employee director. Upon termination of service on the Board of Directors, all such Phantom Stock Units settle in shares of UTC Common Stock.

SEC source: 0001225208-11-026733 · doc4.xml · derivative · entry 5

GARNIER JEAN PIERRE · CIK 0001184175 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,000 shares

Expires 2012-04-09

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: 0001225208-11-026733 · doc4.xml · nonDerivative · entry 3

GARNIER JEAN PIERRE · CIK 0001184175 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,710