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CARRIER GLOBAL Corp — Director's Dealing 2021
Jan 6, 2021
30017_dirs_2021-01-05_eef4b616-a348-47c9-8319-c709f111e81d.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Carrier Global Corp (CARR)
CIK: 0001783180
Period of Report: 2021-01-02
Reporting Person: Gitlin David L. (Director, President & CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-01-02 | Common Stock | M | 114611.0000 | $0.0000 | Acquired | 114611.0000 | Direct |
| 2021-01-02 | Common Stock | M | 41095.0000 | $0.0000 | Acquired | 155706.0000 | Direct |
| 2021-01-02 | Common Stock | F | 11858.0000 | $37.0300 | Disposed | 143848.0000 | Direct |
| 2021-01-02 | Common Stock | F | 44366.0000 | $37.0300 | Disposed | 99482.0000 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-01-02 | Restricted Stock Unit RSU | $ | M | 41095.0000 | Disposed | Common Stock (41095.0000) | Direct | |
| 2021-01-02 | RSU P | $ | M | 114611.0000 | Disposed | Common Stock (114611.0000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 28000.0000 | Indirect |
| Common Stock | 179289.0000 | Indirect |
| Common Stock | 2829.0000 | Indirect |
Footnotes
F1: Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of Carrier common stock.
F2: In December 2020, the reporting person contributed these 28,000 shares to a grantor retained annuity trust (GRAT) for which the reporting person serves as trustee
F3: The reporting person was granted these RSUs on January 2, 2018, by United Technologies Corporation (UTC), the former parent company of the issuer.
F4: 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.