Appel David's Form 4 filing
Carrier Global Corp (CARR) · filed Aug 6, 2021
- Accession no.
- 0001225208-21-011250
- Filed
- Aug 6, 2021
- Trade date
- Aug 4, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 6 non-derivative transactions and 2 derivative transactions. Open-market sales total $1.97M. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Appel DavidCIK 0001808516 | Officer (President, Refrigeration) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Aug 4, 2021 | Common Stock | MOption exerciseAcquired | +38,867 | $18.81 | +$731,088.27 | 79,938 | Direct | |
| Aug 4, 2021 | Common Stock | MOption exerciseAcquired | +10,725 | $14.05 | +$150,686.25 | 90,663 | Direct | |
| Aug 4, 2021 | Common Stock | DReturned to the companyDisposed | −2,620 | $57.50 | −$150,650 | 88,043 | Direct | |
| Aug 4, 2021 | Common Stock | SSaleDisposed | −8,105 | $57.38F2 | −$465,064.9 | 79,938 | Direct | |
| Aug 4, 2021 | Common Stock | DReturned to the companyDisposed | −12,713 | $57.50 | −$730,997.5 | 67,225 | Direct | |
| Aug 4, 2021 | Common Stock | SSaleDisposed | −26,154 | $57.38F2 | −$1,500,716.52 | 41,071 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Aug 4, 2021 | Common Stock | MOption exerciseDisposed | −10,725 | $0.00 | $0 | 0 | Direct | |
| Aug 4, 2021 | Common Stock | MOption exerciseDisposed | −38,867 | $0.00 | $0 | 0 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F2
The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $57.275 to $57.49 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.
Referenced by the price of 2 transactions in Table I.