Crockett Kyle's Form 4 filing
Carrier Global Corp (CARR) · filed Feb 4, 2022
- Accession no.
- 0001225208-22-001525
- Filed
- Feb 4, 2022
- Trade date
- Feb 2-4, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 3 non-derivative transactions and 2 derivative transactions. Open-market sales total $168.4K. 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 |
|---|---|
| Crockett KyleCIK 0001807898 | Officer (Vice President, Controller) |
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 |
|---|---|---|---|---|---|---|---|---|
| Feb 3, 2022 | Common Stock | MOption exerciseAcquired | +5,028 | $0.00F1 | $0 | 5,040 | Direct | |
| Feb 3, 2022 | Common Stock | FTax withholdingDisposed | −1,346 | $46.24 | −$62,239.04 | 3,694 | Direct | |
| Feb 4, 2022 | Common Stock | SSaleDisposed | −3,682 | $45.73F3 | −$168,377.86 | 12 | 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 |
|---|---|---|---|---|---|---|---|---|
| Feb 2, 2022 | Common Stock | AGrant or awardAcquired | +21,075 | $0.00 | $0 | 21,075 | Direct | |
| Feb 3, 2022 | Common Stock | MOption exerciseDisposed | −5,028 | $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.
- F1
Restricted stock units convert into common stock on a one-for-one basis.
Referenced by the price of 1 transaction in Table I.
- F3
The price reported in Column 4 is a weighted average price for the shares sold in multiple transactions. The sale prices range from $45.00 to $46.16 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 1 transaction in Table I.