Nadia Villeneuve - 05 Feb 2022 Form 4 Insider Report for CARRIER GLOBAL Corp (CARR)

Role
Senior VP & CHRO
Signature
/s/ William Langston as Attorney-in-Fact
Issuer symbol
CARR
Transactions as of
05 Feb 2022
Net transactions value
-$218,978
Form type
4
Filing time
08 Feb 2022, 17:31:58 UTC
Previous filing
04 Feb 2022
Next filing
14 Feb 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CARR Common Stock Options Exercise $0 +12,263 +63% $0.000000 31,610 05 Feb 2022 Direct F1
transaction CARR Common Stock Options Exercise $0 +6,996 +22% $0.000000 38,606 05 Feb 2022 Direct F1
transaction CARR Common Stock Tax liability $78,111 -1,704 -4.4% $45.84 36,902 05 Feb 2022 Direct
transaction CARR Common Stock Tax liability $140,866 -3,073 -8.3% $45.84 33,829 05 Feb 2022 Direct

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction CARR Restricted Stock Unit RSU Options Exercise $0 -6,996 -100% $0.000000* 0 05 Feb 2022 Common Stock 6,996 Direct F1, F2
transaction CARR RSU P Options Exercise $0 -12,263 -100% $0.000000* 0 05 Feb 2022 Common Stock 12,263 Direct F1, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of Carrier Global Corporation common stock. The RSUs vest contingent upon the reporting person's continued employment at the conclusion of the vesting period.
F2 The reporting person was granted these RSUs on February 5, 2019, by United Technologies Corporation (UTC), the former parent company of the issuer.
F3 The reporting person was originally granted Performance Stock Units (PSUs) on February 5, 2019, by UTC. These PSUs were converted to RSUs in connection with the spin-off of the issuer by UTC.