Form 4 for CARR Carrier Global
Accepted 2021-11-16 00:00:00 ET · period of report 2021-11-12 · accession 0001225208-21-013898 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2021-11-16 | 2021-11-12 | CARR | Timperman Jurgen | Pres, Fire, Security | D - Sale to Iss | $55.94 | -14.1K | 31.2K | -31% | -$787.6K |
| DM | 2021-11-16 | 2021-11-12 | CARR | Timperman Jurgen | Pres, Fire, Security | M - OptEx | $21.22 | +37.1K | 54.4K | +215% | +$787.6K |
| DM | 2021-11-16 | 2021-11-12 | CARR | Timperman Jurgen | Pres, Fire, Security | S - Sale+OE | $56.05 | -33.0K | 54.4K | -38% | -$1.85M |
| DM | 2021-11-16 | 2021-11-12 | CARR | Timperman Jurgen | Pres, Fire, Security | M - OptEx | $0.00 | -37.1K | 34.4K | -52% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2021-11-12 | D | D | 902 | $55.94 | 56,208 | D | — | — | |
| 2 | Common | Common Stock | 2021-11-12 | M | A | 2,724 | $18.53 | 57,110 | D | — | — | (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. |
| 3 | Common | Common Stock | 2021-11-12 | M | A | 34,397 | $21.43 | 54,386 | D | — | — | (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. |
| 4 | Common | Common Stock | 2021-11-12 | S | D | 9,994 | $56.05 | 44,392 | D | — | — | (F2) The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $56.05 to $56.075 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. |
| 5 | Common | Common Stock | 2021-11-12 | D | D | 13,177 | $55.94 | 31,215 | D | — | — | |
| 6 | Common | Common Stock | 2021-11-12 | S | D | 21,220 | $56.05 | 9,995 | D | — | — | (F2) The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $56.05 to $56.075 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. |
| 7 | Common | Common Stock | 2021-11-12 | S | D | 1,822 | $56.05 | 54,386 | D | — | — | (F2) The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $56.05 to $56.075 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. |
| 8 | Derivative | Stock Appreciation Right | 2021-11-12 | M | D | 2,724 | $0.00 | 2,724 | D | $18.53 · 2020-01-03 to 2027-01-03 | 2,724 Common Stock | |
| 9 | Derivative | Stock Appreciation Right | 2021-11-12 | M | D | 34,397 | $0.00 | 34,397 | D | $21.43 · 2021-01-02 to 2028-01-01 | 34,397 Common Stock |