Agrawal Ajay's Form 4 filing
Carrier Global Corp (CARR) · filed Aug 20, 2021
- Accession no.
- 0001225208-21-011614
- Filed
- Aug 20, 2021
- Trade date
- Aug 19, 2021
- Filing delay
- 1 day
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 15 non-derivative transactions and 5 derivative transactions. Open-market sales total $1.05M. It was filed 1 day 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 |
|---|---|
| Agrawal AjayCIK 0001808151 | Officer (Senior VP, Strategy & Services) |
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 19, 2021 | Common Stock | MOption exerciseAcquired | +7,916 | $15.98 | +$126,497.68 | 49,155 | Direct | |
| Aug 19, 2021 | Common Stock | MOption exerciseAcquired | +6,044 | $14.05 | +$84,918.2 | 55,199 | Direct | |
| Aug 19, 2021 | Common Stock | MOption exerciseAcquired | +4,852 | $19.24 | +$93,352.48 | 60,051 | Direct | |
| Aug 19, 2021 | Common Stock | MOption exerciseAcquired | +4,426 | $18.81 | +$83,253.06 | 64,477 | Direct | |
| Aug 19, 2021 | Common Stock | MOption exerciseAcquired | +4,171 | $18.53 | +$77,288.63 | 68,648 | Direct | |
| Aug 19, 2021 | Common Stock | DReturned to the companyDisposed | −1,402 | $55.11 | −$77,264.22 | 67,246 | Direct | |
| Aug 19, 2021 | Common Stock | DReturned to the companyDisposed | −1,510 | $55.11 | −$83,216.1 | 65,736 | Direct | |
| Aug 19, 2021 | Common Stock | DReturned to the companyDisposed | −1,540 | $55.11 | −$84,869.4 | 64,196 | Direct | |
| Aug 19, 2021 | Common Stock | DReturned to the companyDisposed | −1,693 | $55.11 | −$93,301.23 | 62,503 | Direct | |
| Aug 19, 2021 | Common Stock | DReturned to the companyDisposed | −2,295 | $55.11 | −$126,477.45 | 60,208 | Direct | |
| Aug 19, 2021 | Common Stock | SSaleDisposed | −2,769 | $55.13F2 | −$152,654.97 | 57,439 | Direct | |
| Aug 19, 2021 | Common Stock | SSaleDisposed | −2,916 | $55.13F2 | −$160,759.08 | 54,523 | Direct | |
| Aug 19, 2021 | Common Stock | SSaleDisposed | −3,159 | $55.13F2 | −$174,155.67 | 51,364 | Direct | |
| Aug 19, 2021 | Common Stock | SSaleDisposed | −4,504 | $55.13F2 | −$248,305.52 | 46,860 | Direct | |
| Aug 19, 2021 | Common Stock | SSaleDisposed | −5,621 | $55.13F2 | −$309,885.73 | 41,239 | 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 19, 2021 | Common Stock | MOption exerciseDisposed | −6,044 | $0.00 | $0 | 0 | Direct | |
| Aug 19, 2021 | Common Stock | MOption exerciseDisposed | −4,426 | $0.00 | $0 | 0 | Direct | |
| Aug 19, 2021 | Common Stock | MOption exerciseDisposed | −4,852 | $0.00 | $0 | 0 | Direct | |
| Aug 19, 2021 | Common Stock | MOption exerciseDisposed | −4,171 | $0.00 | $0 | 0 | Direct | |
| Aug 19, 2021 | Common Stock | MOption exerciseDisposed | −7,916 | $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 $55.11 to $55.185 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 5 transactions in Table I.