0001225208-23-007791.txt : 20230731 0001225208-23-007791.hdr.sgml : 20230731 20230731191753 ACCESSION NUMBER: 0001225208-23-007791 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230731 FILED AS OF DATE: 20230731 DATE AS OF CHANGE: 20230731 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Crockett Kyle CENTRAL INDEX KEY: 0001807898 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39220 FILM NUMBER: 231129046 MAIL ADDRESS: STREET 1: 13995 PASTEUR BOULEVARD CITY: PALM BEACH GARDENS STATE: FL ZIP: 33418 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CARRIER GLOBAL Corp CENTRAL INDEX KEY: 0001783180 STANDARD INDUSTRIAL CLASSIFICATION: AIR COND & WARM AIR HEATING EQUIP & COMM & INDL REFRIG EQUIP [3585] IRS NUMBER: 834051582 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 13995 PASTEUR BOULEVARD CITY: PALM BEACH GARDENS STATE: FL ZIP: 33418 BUSINESS PHONE: 5613652000 MAIL ADDRESS: STREET 1: 13995 PASTEUR BOULEVARD CITY: PALM BEACH GARDENS STATE: FL ZIP: 33418 FORMER COMPANY: FORMER CONFORMED NAME: Carrier Global Corp DATE OF NAME CHANGE: 20190722 4 1 doc4.xml X0508 4 2023-07-31 0001783180 CARRIER GLOBAL Corp CARR 0001807898 Crockett Kyle 13995 PASTEUR BOULEVARD PALM BEACH GARDENS FL 33418 1 Vice President, Controller 0 Common Stock 2023-07-31 4 M 0 12000.0000 25.5800 A 12042.0000 D Common Stock 2023-07-31 4 D 0 5183.0000 59.2200 D 6859.0000 D Common Stock 2023-07-31 4 S 0 6817.0000 59.2152 D 42.0000 D Stock Appreciation Right 25.5800 2023-07-31 4 M 0 12000.0000 0.0000 D 2023-02-04 2030-02-03 Common Stock 12000.0000 35258.0000 D 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. The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $59.2101 to $59.2250 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. /s/ Erin O'Neal as Attorney-in-Fact 2023-07-31