Timperman Jurgen's Form 4 filing
Carrier Global Corp (CARR) · filed Nov 16, 2021
- Accession no.
- 0001225208-21-013898
- Filed
- Nov 16, 2021
- Trade date
- Nov 12, 2021
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 7 non-derivative transactions and 2 derivative transactions. Open-market sales total $1.85M. It was filed 4 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 |
|---|---|
| Timperman JurgenCIK 0001808090 | Officer (President, Fire & Security) |
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 |
|---|---|---|---|---|---|---|---|---|
| Nov 12, 2021 | Common Stock | MOption exerciseAcquired | +34,397 | $21.43 | +$737,127.71 | 54,386 | Direct | |
| Nov 12, 2021 | Common Stock | MOption exerciseAcquired | +2,724 | $18.53 | +$50,475.72 | 57,110 | Direct | |
| Nov 12, 2021 | Common Stock | DReturned to the companyDisposed | −902 | $55.94 | −$50,457.88 | 56,208 | Direct | |
| Nov 12, 2021 | Common Stock | SSaleDisposed | −1,822 | $56.05F2 | −$102,123.1 | 54,386 | Direct | |
| Nov 12, 2021 | Common Stock | SSaleDisposed | −9,994 | $56.05F2 | −$560,163.7 | 44,392 | Direct | |
| Nov 12, 2021 | Common Stock | DReturned to the companyDisposed | −13,177 | $55.94 | −$737,121.38 | 31,215 | Direct | |
| Nov 12, 2021 | Common Stock | SSaleDisposed | −21,220 | $56.05F2 | −$1,189,381 | 9,995 | 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 |
|---|---|---|---|---|---|---|---|---|
| Nov 12, 2021 | Common Stock | MOption exerciseDisposed | −34,397 | $0.00 | $0 | 34,397 | Direct | |
| Nov 12, 2021 | Common Stock | MOption exerciseDisposed | −2,724 | $0.00 | $0 | 2,724 | 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 $56.05 to $56.075 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 3 transactions in Table I.