Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CARRIER GLOBAL CorpCARR · Entity 3043 | President, Refrigeration | August 04, 2021 | August 06, 2021 |
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.
CARRIER GLOBAL Corp
Report date August 04, 2021 · Filed August 06, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 41,071 |
Ending reported balance
After 2021-08-04 transaction · row 6
6 source rows · reconciled sequenceRow 1 · 2021-08-04 · Exercise / conversion · Acquired 38,867 · Balance 79,938 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 · 2021-08-04 · Exercise / conversion · Acquired 10,725 · Balance 90,663 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 · 2021-08-04 · Disposition to issuer · Disposed 2,620 · Balance 88,043 Row 4 · 2021-08-04 · Sale · Disposed 8,105 · Balance 79,938 F2: The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $57.275 to $57.49 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 sold at each separate price within the range. Row 5 · 2021-08-04 · Disposition to issuer · Disposed 12,713 · Balance 67,225 Row 6 · 2021-08-04 · Sale · Disposed 26,154 · Balance 41,071 F2: The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $57.275 to $57.49 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 sold at each separate price within the range. |
| Stock Appreciation RightSEC Table II · derivative / convertible security · Conversion / exercise price $14.05 · Expires 2023-01-01 | Direct | 0 |
Reported balance
After 2021-08-04 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2021-08-04 · Exercise / conversion · Disposed 10,725 · Balance 0 |
| Stock Appreciation RightSEC Table II · derivative / convertible security · Conversion / exercise price $18.81 · Expires 2024-01-01 | Direct | 0 |
Reported balance
After 2021-08-04 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2021-08-04 · Exercise / conversion · Disposed 38,867 · Balance 0 |
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 $57.275 to $57.49 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 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 |
|---|---|---|---|---|---|---|
| August 04, 2021 Filed Aug 6, 2021 07:20 UTC | CARRIER GLOBAL Corp CARR · Entity 3043 | Exercise / conversionStock Appreciation Right · Derivative | 38,867 | $0.00 Strike: $18.81 | $0.00 |
DisclosureSEC source: 0001225208-21-011250 · doc4.xml · derivative · entry 8 Appel David · CIK 0001808516 · President, Refrigeration 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 38,867 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 |
| August 04, 2021 Filed Aug 6, 2021 07:20 UTC | CARRIER GLOBAL Corp CARR · Entity 3043 | Exercise / conversionStock Appreciation Right · Derivative | 10,725 | $0.00 Strike: $14.05 | $0.00 |
DisclosureSEC source: 0001225208-21-011250 · doc4.xml · derivative · entry 7 Appel David · CIK 0001808516 · President, Refrigeration 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,725 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 |
| August 04, 2021 Filed Aug 6, 2021 07:20 UTC | CARRIER GLOBAL Corp CARR · Entity 3043 | SaleCommon Stock | 26,154 | $57.38 | $1,500,661.60 |
DisclosureSEC source: 0001225208-21-011250 · doc4.xml · nonDerivative · entry 6 Appel David · CIK 0001808516 · President, Refrigeration 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,071 F2 · price: The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $57.275 to $57.49 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 sold at each separate price within the range. Read SEC document |
| August 04, 2021 Filed Aug 6, 2021 07:20 UTC | CARRIER GLOBAL Corp CARR · Entity 3043 | Disposition to issuerCommon Stock | 12,713 | $57.50 | $730,997.50 |
DisclosureSEC source: 0001225208-21-011250 · doc4.xml · nonDerivative · entry 5 Appel David · CIK 0001808516 · President, Refrigeration 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,225 Read SEC document |
| August 04, 2021 Filed Aug 6, 2021 07:20 UTC | CARRIER GLOBAL Corp CARR · Entity 3043 | SaleCommon Stock | 8,105 | $57.38 | $465,047.88 |
DisclosureSEC source: 0001225208-21-011250 · doc4.xml · nonDerivative · entry 4 Appel David · CIK 0001808516 · President, Refrigeration 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 79,938 F2 · price: The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $57.275 to $57.49 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 sold at each separate price within the range. Read SEC document |
| August 04, 2021 Filed Aug 6, 2021 07:20 UTC | CARRIER GLOBAL Corp CARR · Entity 3043 | Disposition to issuerCommon Stock | 2,620 | $57.50 | $150,650.00 |
DisclosureSEC source: 0001225208-21-011250 · doc4.xml · nonDerivative · entry 3 Appel David · CIK 0001808516 · President, Refrigeration 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 88,043 Read SEC document |
| August 04, 2021 Filed Aug 6, 2021 07:20 UTC | CARRIER GLOBAL Corp CARR · Entity 3043 | Exercise / conversionCommon Stock | 10,725 | $14.05 | $150,686.25 |
DisclosureSEC source: 0001225208-21-011250 · doc4.xml · nonDerivative · entry 2 Appel David · CIK 0001808516 · President, Refrigeration 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,663 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 |
| August 04, 2021 Filed Aug 6, 2021 07:20 UTC | CARRIER GLOBAL Corp CARR · Entity 3043 | Exercise / conversionCommon Stock | 38,867 | $18.81 | $731,088.27 |
DisclosureSEC source: 0001225208-21-011250 · doc4.xml · nonDerivative · entry 1 Appel David · CIK 0001808516 · President, Refrigeration 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 79,938 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, 2021 Filed Feb 11, 2021 21:06 UTC | CARRIER GLOBAL Corp CARR · Entity 3043 | Exercise / conversionRestricted Stock Unit RSU · Derivative | 57 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-21-002272 · doc4.xml · derivative · entry 4 Appel David · CIK 0001808516 · President, Refrigeration 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 57 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of Carrier common stock. F2 · derivative.exercise_date: The reporting person was granted RSUs on January 2, 2018 by United Technologies Corporation, the former parent company of the issuer. And on January 5, 2021, the reporting person reported that the previously awarded RSUs, including dividend equivalents, vested and converted to Carrier common stock. Those previously awarded RSUs were entitled to additional dividend equivalents that were not payable until February 10, 2021. F2 · derivative.expiration_date: The reporting person was granted RSUs on January 2, 2018 by United Technologies Corporation, the former parent company of the issuer. And on January 5, 2021, the reporting person reported that the previously awarded RSUs, including dividend equivalents, vested and converted to Carrier common stock. Those previously awarded RSUs were entitled to additional dividend equivalents that were not payable until February 10, 2021. Read SEC document |
| February 10, 2021 Filed Feb 11, 2021 21:06 UTC | CARRIER GLOBAL Corp CARR · Entity 3043 | GrantRestricted Stock Unit RSU · Derivative | 57 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-21-002272 · doc4.xml · derivative · entry 3 Appel David · CIK 0001808516 · President, Refrigeration 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57 Underlying: Common Stock · 57 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of Carrier common stock. F2 · derivative.exercise_date: The reporting person was granted RSUs on January 2, 2018 by United Technologies Corporation, the former parent company of the issuer. And on January 5, 2021, the reporting person reported that the previously awarded RSUs, including dividend equivalents, vested and converted to Carrier common stock. Those previously awarded RSUs were entitled to additional dividend equivalents that were not payable until February 10, 2021. F2 · derivative.expiration_date: The reporting person was granted RSUs on January 2, 2018 by United Technologies Corporation, the former parent company of the issuer. And on January 5, 2021, the reporting person reported that the previously awarded RSUs, including dividend equivalents, vested and converted to Carrier common stock. Those previously awarded RSUs were entitled to additional dividend equivalents that were not payable until February 10, 2021. Read SEC document |
| February 10, 2021 Filed Feb 11, 2021 21:06 UTC | CARRIER GLOBAL Corp CARR · Entity 3043 | Tax withholdingCommon Stock | 22 | $37.19 | $818.18 |
DisclosureSEC source: 0001225208-21-002272 · doc4.xml · nonDerivative · entry 2 Appel David · CIK 0001808516 · President, Refrigeration 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,014 Read SEC document |
| February 10, 2021 Filed Feb 11, 2021 21:06 UTC | CARRIER GLOBAL Corp CARR · Entity 3043 | Exercise / conversionCommon Stock | 57 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-21-002272 · doc4.xml · nonDerivative · entry 1 Appel David · CIK 0001808516 · President, Refrigeration 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,036 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of Carrier common stock. Read SEC document |
| February 04, 2021 Filed Feb 8, 2021 16:44 UTC | CARRIER GLOBAL Corp CARR · Entity 3043 | GrantStock Appreciation Right · Derivative | 73,390 | $38.33 Strike: $38.33 | $2,813,038.70 |
DisclosureSEC source: 0001225208-21-001851 · doc4.xml · derivative · entry 2 Appel David · CIK 0001808516 · President, Refrigeration 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,390 Underlying: Common Stock · 73,390 shares Expires 2031-02-03 F1 · balance_after: The reporting person was also awarded 18,945 Performance Share Units (PSUs) under the Carrier Global Corporation Long-Term Incentive Plan. Each PSU has a value equal to one share of Carrier common stock and will only vest if Carrier achieves pre-established performance targets for earnings per share growth and total shareowner return relative to a subset of industrial companies in the S&P 500 index over a three-year time period. Read SEC document |
| January 02, 2021 Filed Jan 5, 2021 18:46 UTC | CARRIER GLOBAL Corp CARR · Entity 3043 | Exercise / conversionRSU P · Derivative | 12,887 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-21-000372 · doc4.xml · derivative · entry 6 Appel David · CIK 0001808516 · President, Refrigeration 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 12,887 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of Carrier common stock. F3 · derivative.expiration_date: The reporting person was originally granted Performance Stock Units (PSUs) on January 2, 2018, by UTC. These PSUs were converted to RSUs in connection with the spin-off of the issuer by UTC. The reporting person's prior filing on December 23, 2020, reporting a reduction in these RSUs otherwise deliverable to satisfy federal tax obligations identified this security as "Restricted Stock Unit RSU," but for recordkeeping purposes the title of the security has been changed to "RSU P" to reflect that these RSUs were related to the earlier grant of PSUs. F3 · derivative.underlying_shares: The reporting person was originally granted Performance Stock Units (PSUs) on January 2, 2018, by UTC. These PSUs were converted to RSUs in connection with the spin-off of the issuer by UTC. The reporting person's prior filing on December 23, 2020, reporting a reduction in these RSUs otherwise deliverable to satisfy federal tax obligations identified this security as "Restricted Stock Unit RSU," but for recordkeeping purposes the title of the security has been changed to "RSU P" to reflect that these RSUs were related to the earlier grant of PSUs. Read SEC document |
| January 02, 2021 Filed Jan 5, 2021 18:46 UTC | CARRIER GLOBAL Corp CARR · Entity 3043 | Exercise / conversionRestricted Stock Unit RSU · Derivative | 17,718 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-21-000372 · doc4.xml · derivative · entry 5 Appel David · CIK 0001808516 · President, Refrigeration 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 17,718 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of Carrier common stock. F2 · derivative.expiration_date: The reporting person was granted these RSUs on January 2, 2018, by United Technologies Corporation (UTC), the former parent company of the issuer. F2 · derivative.underlying_shares: The reporting person was granted these RSUs on January 2, 2018, by United Technologies Corporation (UTC), the former parent company of the issuer. Read SEC document |
| January 02, 2021 Filed Jan 5, 2021 18:46 UTC | CARRIER GLOBAL Corp CARR · Entity 3043 | Tax withholdingCommon Stock | 4,445 | $37.03 | $164,598.35 |
DisclosureSEC source: 0001225208-21-000372 · doc4.xml · nonDerivative · entry 4 Appel David · CIK 0001808516 · President, Refrigeration 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,979 Read SEC document |
| January 02, 2021 Filed Jan 5, 2021 18:46 UTC | CARRIER GLOBAL Corp CARR · Entity 3043 | Tax withholdingCommon Stock | 3,898 | $37.03 | $144,342.94 |
DisclosureSEC source: 0001225208-21-000372 · doc4.xml · nonDerivative · entry 3 Appel David · CIK 0001808516 · President, Refrigeration 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,424 Read SEC document |
| January 02, 2021 Filed Jan 5, 2021 18:46 UTC | CARRIER GLOBAL Corp CARR · Entity 3043 | Exercise / conversionCommon Stock | 12,887 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-21-000372 · doc4.xml · nonDerivative · entry 2 Appel David · CIK 0001808516 · President, Refrigeration 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,322 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 18:46 UTC | CARRIER GLOBAL Corp CARR · Entity 3043 | Exercise / conversionCommon Stock | 17,718 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-21-000372 · doc4.xml · nonDerivative · entry 1 Appel David · CIK 0001808516 · President, Refrigeration 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,435 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 Feb 24, 2021 16:16 UTC Amendment | CARRIER GLOBAL Corp CARR · Entity 3043 | Tax withholdingCommon Stock | 2,841 | $37.03 | $105,202.23 |
DisclosureSEC source: 0001225208-21-003615 · doc4a.xml · nonDerivative · entry 1 Appel David · CIK 0001808516 · President, Refrigeration 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,481 F1 · shares: The Form 4 that was filed on January 5, 2021, reported the incorrect number of shares that were withheld for the reporting person's tax liability. Read SEC document |
| December 21, 2020 Filed Dec 23, 2020 16:43 UTC | CARRIER GLOBAL Corp CARR · Entity 3043 | Exercise / conversionRestricted Stock Unit RSU · Derivative | 320 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-20-029440 · form4.xml · derivative · entry 9 Appel David · CIK 0001808516 · President, Refrigeration 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,241 Underlying: Common · 320 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of Carrier common stock. F4 · derivative.exercise_date: The reporting person was originally granted RSUs on February 5, 2019, by UTC. This transaction reflects a reduction in the RSUs otherwise deliverable upon future vesting in order to satisfy federal tax obligations with respect to the RSUs. F4 · derivative.expiration_date: The reporting person was originally granted RSUs on February 5, 2019, by UTC. This transaction reflects a reduction in the RSUs otherwise deliverable upon future vesting in order to satisfy federal tax obligations with respect to the RSUs. F4 · derivative.underlying_shares: The reporting person was originally granted RSUs on February 5, 2019, by UTC. This transaction reflects a reduction in the RSUs otherwise deliverable upon future vesting in order to satisfy federal tax obligations with respect to the RSUs. Read SEC document |
| December 21, 2020 Filed Dec 23, 2020 16:43 UTC | CARRIER GLOBAL Corp CARR · Entity 3043 | Exercise / conversionRestricted Stock Unit RSU · Derivative | 567 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-20-029440 · form4.xml · derivative · entry 8 Appel David · CIK 0001808516 · President, Refrigeration 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,615 Underlying: Common · 567 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of Carrier common stock. F3 · derivative.exercise_date: The reporting person was originally granted PSUs on February 5, 2019, by UTC. These PSUs were converted to RSUs in connection with the spin-off of the issuer by UTC. This transaction reflects a reduction in the RSUs otherwise deliverable upon future vesting in order to satisfy federal tax obligations with respect to the RSUs. F3 · derivative.expiration_date: The reporting person was originally granted PSUs on February 5, 2019, by UTC. These PSUs were converted to RSUs in connection with the spin-off of the issuer by UTC. This transaction reflects a reduction in the RSUs otherwise deliverable upon future vesting in order to satisfy federal tax obligations with respect to the RSUs. F3 · derivative.underlying_shares: The reporting person was originally granted PSUs on February 5, 2019, by UTC. These PSUs were converted to RSUs in connection with the spin-off of the issuer by UTC. This transaction reflects a reduction in the RSUs otherwise deliverable upon future vesting in order to satisfy federal tax obligations with respect to the RSUs. Read SEC document |
| December 21, 2020 Filed Dec 23, 2020 16:43 UTC | CARRIER GLOBAL Corp CARR · Entity 3043 | Exercise / conversionRestricted Stock Unit RSU · Derivative | 500 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001140361-20-029440 · form4.xml · derivative · entry 7 Appel David · CIK 0001808516 · President, Refrigeration 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,887 Underlying: Common · 500 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of Carrier common stock. F2 · derivative.exercise_date: The reporting person was originally granted Performance Stock Units (PSUs) on January 2, 2018, by United Technologies Corporation (UTC), the former parent company of the issuer. These PSUs were converted to RSUs in connection with the spin-off of the issuer by UTC. This transaction reflects a reduction in the RSUs otherwise deliverable upon future vesting in order to satisfy federal tax obligations with respect to the RSUs. F2 · derivative.expiration_date: The reporting person was originally granted Performance Stock Units (PSUs) on January 2, 2018, by United Technologies Corporation (UTC), the former parent company of the issuer. These PSUs were converted to RSUs in connection with the spin-off of the issuer by UTC. This transaction reflects a reduction in the RSUs otherwise deliverable upon future vesting in order to satisfy federal tax obligations with respect to the RSUs. F2 · derivative.underlying_shares: The reporting person was originally granted Performance Stock Units (PSUs) on January 2, 2018, by United Technologies Corporation (UTC), the former parent company of the issuer. These PSUs were converted to RSUs in connection with the spin-off of the issuer by UTC. This transaction reflects a reduction in the RSUs otherwise deliverable upon future vesting in order to satisfy federal tax obligations with respect to the RSUs. Read SEC document |
| December 21, 2020 Filed Dec 23, 2020 16:43 UTC | CARRIER GLOBAL Corp CARR · Entity 3043 | Tax withholdingCommon Stock | 320 | $38.52 | $12,326.40 |
DisclosureSEC source: 0001140361-20-029440 · form4.xml · nonDerivative · entry 6 Appel David · CIK 0001808516 · President, Refrigeration 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,717 Read SEC document |
| December 21, 2020 Filed Dec 23, 2020 16:43 UTC | CARRIER GLOBAL Corp CARR · Entity 3043 | Exercise / conversionCommon Stock | 320 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-20-029440 · form4.xml · nonDerivative · entry 5 Appel David · CIK 0001808516 · President, Refrigeration 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,037 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of Carrier common stock. Read SEC document |
| December 21, 2020 Filed Dec 23, 2020 16:43 UTC | CARRIER GLOBAL Corp CARR · Entity 3043 | Tax withholdingCommon Stock | 567 | $38.52 | $21,840.84 |
DisclosureSEC source: 0001140361-20-029440 · form4.xml · nonDerivative · entry 4 Appel David · CIK 0001808516 · President, Refrigeration 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,717 Read SEC document |
| December 21, 2020 Filed Dec 23, 2020 16:43 UTC | CARRIER GLOBAL Corp CARR · Entity 3043 | Exercise / conversionCommon Stock | 567 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-20-029440 · form4.xml · nonDerivative · entry 3 Appel David · CIK 0001808516 · President, Refrigeration 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,284 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of Carrier common stock. Read SEC document |
| December 21, 2020 Filed Dec 23, 2020 16:43 UTC | CARRIER GLOBAL Corp CARR · Entity 3043 | Tax withholdingCommon Stock | 500 | $38.52 | $19,260.00 |
DisclosureSEC source: 0001140361-20-029440 · form4.xml · nonDerivative · entry 2 Appel David · CIK 0001808516 · President, Refrigeration 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,717 Read SEC document |
| December 21, 2020 Filed Dec 23, 2020 16:43 UTC | CARRIER GLOBAL Corp CARR · Entity 3043 | Exercise / conversionCommon Stock | 500 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-20-029440 · form4.xml · nonDerivative · entry 1 Appel David · CIK 0001808516 · President, Refrigeration 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,217 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 |
| June 01, 2020 Filed Jun 3, 2020 16:17 UTC | CARRIER GLOBAL Corp CARR · Entity 3043 | GrantRestricted Stock Unit RSU · Derivative | 45,830 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001225208-20-008576 · doc4.xml · derivative · entry 1 Appel David · CIK 0001808516 · President, Refrigeration 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,830 Underlying: Common Stock · 45,830 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of Carrier common stock after a three-year vesting period; however, these RSUs may vest after two years if the reporting person retires upon or after reaching age 65. F1 · price: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of Carrier common stock after a three-year vesting period; however, these RSUs may vest after two years if the reporting person retires upon or after reaching age 65. F1 · derivative.expiration_date: Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of Carrier common stock after a three-year vesting period; however, these RSUs may vest after two years if the reporting person retires upon or after reaching age 65. Read SEC document |
| May 14, 2020 Filed May 18, 2020 18:02 UTC | CARRIER GLOBAL Corp CARR · Entity 3043 | GrantStock Appreciation Right · Derivative | 165,200 | $16.55 Strike: $16.55 | $2,734,060.00 |
DisclosureSEC source: 0001225208-20-007965 · doc4.xml · derivative · entry 1 Appel David · CIK 0001808516 · President, Refrigeration 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 165,200 Underlying: Common Stock · 165,200 shares Expires 2030-05-13 F1 · balance_after: The reporting person was also awarded 46,240 Performance Share Units (PSUs) under the Carrier Global Corporation 2020 Long-Term Incentive Plan. This award, like the award of the Stock Appreciation Rights, was part of a founder's grant awarded to the reporting person and to certain other executive officers and certain other employees. Each PSU has a value equal to one share of Carrier common stock and will only vest if Carrier achieves pre-established performance targets for Carrier's total shareholder return relative to a subset of industrial companies in the S&P 500 index over a three-year time period. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.