Form 4 for CARR Carrier Global
Accepted 2023-02-07 00:00:00 ET · period of report 2023-02-03 · accession 0001225208-23-001422 · 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 | 2023-02-07 | 2023-02-03+ | CARR | Crockett Kyle | VP, Ctrl | M - OptEx | $0.00 | +13.9K | 12.6K | New | $0 |
| DM | 2023-02-07 | 2023-02-03+ | CARR | Crockett Kyle | VP, Ctrl | F - Tax | $46.89 | -3,525 | 10.4K | -25% | -$165.3K |
| DM | 2023-02-07 | 2023-02-03+ | CARR | Crockett Kyle | VP, Ctrl | M - OptEx | $0.00 | -13.9K | 0 | -100% | $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 | 2023-02-03 | M | A | 5,108 | $0.00 | 5,132 | D | — | — | (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. |
| 2 | Common | Common Stock | 2023-02-03 | F | D | 1,375 | $46.89 | 3,757 | D | — | — | |
| 3 | Common | Common Stock | 2023-02-04 | M | A | 8,826 | $0.00 | 12,583 | D | — | — | (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. |
| 4 | Common | Common Stock | 2023-02-04 | F | D | 2,150 | $46.89 | 10,433 | D | — | — | |
| 5 | Derivative | Restricted Stock Unit RSU | 2023-02-03 | M | D | 5,108 | $0.00 | 0 | D | — · 2023-02-03 to — | 5,108 Common Stock | (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 3, 2020 and are the last of three tranches that vested over a three-year period. |
| 6 | Derivative | Restricted Stock Unit RSU | 2023-02-04 | M | D | 8,826 | $0.00 | 0 | D | — · 2023-02-04 to — | 8,826 Common Stock | (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. (F3) The reporting person was originally granted RSUs on February 4, 2020 by United Technologies Corporation (UTC), the former parent company of the Issuer. These RSUs were converted into RSUs of the Issuer in connection with the spin-off of the Issuer by UTC. |