CARRIER GLOBAL Corp — Director's Dealing 2020

Dec 23, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Carrier Global Corp (CARR)
CIK: 0001783180
Period of Report: 2020-12-21

Reporting Person: Appel David (N/A)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-12-21	Common Stock	M	500	—	Acquired	18217	Direct
2020-12-21	Common Stock	F	500	$38.52	Disposed	17717	Direct
2020-12-21	Common Stock	M	567	—	Acquired	18284	Direct
2020-12-21	Common Stock	F	567	$38.52	Disposed	17717	Direct
2020-12-21	Common Stock	M	320	—	Acquired	18037	Direct
2020-12-21	Common Stock	F	320	$38.52	Disposed	17717	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2020-12-21	Restricted Stock Unit RSU	$0	M	500	Disposed		Common (500)	Direct
2020-12-21	Restricted Stock Unit RSU	$	M	567	Disposed		Common (567)	Direct
2020-12-21	Restricted Stock Unit RSU	$	M	320	Disposed		Common (320)	Direct

Footnotes

F1: Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of Carrier common stock.

F2: The reporting person was originally granted Performance Stock Units (PSUs) on January 2, 2018, by United Technologies Corporation (UTC), the former parent company of the issuer. These PSUs were converted to RSUs in connection with the spin-off of the issuer by UTC. This transaction reflects a reduction in the RSUs otherwise deliverable upon future vesting in order to satisfy federal tax obligations with respect to the RSUs.

F3: The reporting person was originally granted PSUs on February 5, 2019, by UTC. These PSUs were converted to RSUs in connection with the spin-off of the issuer by UTC. This transaction reflects a reduction in the RSUs otherwise deliverable upon future vesting in order to satisfy federal tax obligations with respect to the RSUs.

F4: The reporting person was originally granted RSUs on February 5, 2019, by UTC. This transaction reflects a reduction in the RSUs otherwise deliverable upon future vesting in order to satisfy federal tax obligations with respect to the RSUs.