Appel David 4

4 · Carrier Global Corp · Filed Jan 5, 2021

Form 4

Period: 2021-01-02

President, Refrigeration

Transactions

Exercise/Conversion
Common Stock
2021-01-02+17,718→ 35,435 total
Tax Payment
Common Stock
2021-01-02$37.03/sh−3,898$144,343→ 44,424 total
Exercise/Conversion
Common Stock
2021-01-02+12,887→ 48,322 total
Tax Payment
Common Stock
2021-01-02$37.03/sh−4,445$164,598→ 39,979 total
Exercise/Conversion
RSU P
2021-01-02−12,887→ 0 total
From: 2021-01-02→ Common Stock (12,887 underlying)
Exercise/Conversion
Restricted Stock Unit RSU
2021-01-02−17,718→ 0 total
From: 2021-01-02→ Common Stock (17,718 underlying)

Footnotes (3)

[F1]Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of Carrier common stock.
[F2]The reporting person was granted these RSUs on January 2, 2018, by United Technologies Corporation (UTC), the former parent company of the issuer.
[F3]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.

Documents

1 file