Kevin J. O'Connor - 06 Nov 2024 Form 4 Insider Report for CARRIER GLOBAL Corp (CARR)

Reporting relationship: Senior VP & CLO
Issuer ticker: CARR
Reported as of: 06 Nov 2024
Net transaction value: -$30,788,429
SEC form: 4
Accepted by SEC: 08 Nov 2024, 16:53:14 UTC
Prior SEC filing: 17 Oct 2024
Next SEC filing: 16 Jan 2025
Source filing: View source filing
Reporting owner signature: /s/ Erin O'Neal as Attorney-in-Fact

Key filing fact

Kevin J. O'Connor filed Form 4 for CARRIER GLOBAL Corp (CARR) on 08 Nov 2024.

Key facts

This page summarizes Kevin J. O'Connor's Form 4 filing for CARRIER GLOBAL Corp (CARR).
6 reported transactions and 2 derivative rows are listed below.
Accepted by SEC: 08 Nov 2024, 16:53.

Change

Previous filing in this sequence was filed on 17 Oct 2024.
Current net transaction value: -$30,788,429.

Research use

This tells you what this filing adds before you inspect full transaction and derivative tables.
You can trace every row back to the original SEC filing document.

Evidence

Filed on Form 4

Ownership activity is grounded in SEC Form 4 disclosures.

View source filing

Reported non-derivative transactions

Shares, units, or other non-derivative securities reported in this filing.

CARR transaction

Common Stock

Options Exercise

Transaction value: $5,559,040
Shares: +217,150
Change %: +471%
Price: $25.60
Shares after: 263,233
Date: 06 Nov 2024
Ownership: Direct
Footnotes: F1

CARR transaction

Common Stock

Options Exercise

Transaction value: $529,600
Shares: +32,000
Change %: +12%
Price: $16.55
Shares after: 295,233
Date: 06 Nov 2024
Ownership: Direct
Footnotes: F1

CARR transaction

Common Stock

Tax liability

Transaction value: $6,088,509
Shares: -81,967
Change %: -28%
Price: $74.28
Shares after: 213,266
Date: 06 Nov 2024
Ownership: Direct

CARR transaction

Common Stock

Sale

Transaction value: $12,281,698
Shares: -167,183
Change %: -78%
Price: $73.46
Shares after: 46,083
Date: 06 Nov 2024
Ownership: Direct
Footnotes: F2

Reported derivative securities

Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.

CARR transaction Derivative

Stock Appreciation Right

Options Exercise

Transaction value: $16,129,902
Shares: -217,150
Change %: -100%
Price: $74.28
Shares after: 0
Date: 06 Nov 2024
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 217,150
Exercise price: $25.60

CARR transaction Derivative

Stock Appreciation Right

Options Exercise

Transaction value: $2,376,960
Shares: -32,000
Change %: -29%
Price: $74.28
Shares after: 78,200
Date: 06 Nov 2024
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 32,000
Exercise price: $16.55

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Explanation of responses 2 footnotes

Footnote 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.

Footnote F2

The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $73.00 to $73.93 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.