Nelson Christopher John's Form 4 filing
Carrier Global Corp (CARR) · filed Feb 14, 2023
- Accession no.
- 0001225208-23-001878
- Filed
- Feb 14, 2023
- Trade date
- Feb 10-13, 2023
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 5 non-derivative transactions and 2 derivative transactions. Open-market sales total $9.66M. 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 |
|---|---|
| Nelson Christopher JohnCIK 0001808520 | Officer (President, HVAC) |
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 10, 2023 | Common Stock | MOption exerciseAcquired | +138 | $0.00F1 | $0 | 97,344 | Direct | |
| Feb 10, 2023 | Common Stock | FTax withholdingDisposed | −59 | $44.83 | −$2,644.97 | 97,285 | Direct | |
| Feb 13, 2023 | Common Stock | MOption exerciseAcquired | +396,014 | $20.95 | +$8,296,493.3 | 493,299 | Direct | |
| Feb 13, 2023 | Common Stock | DReturned to the companyDisposed | −182,661 | $45.42 | −$8,296,462.62 | 310,638 | Direct | |
| Feb 13, 2023 | Common Stock | SSaleDisposed | −213,353 | $45.30F3 | −$9,664,890.9 | 97,285 | 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 10, 2023 | Common Stock | MOption exerciseDisposed | −138 | $0.00 | $0 | 0 | Direct | |
| Feb 13, 2023 | Common Stock | MOption exerciseDisposed | −396,014 | $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
Each Restricted Stock Unit (RSU), including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of Carrier Global Corporation common stock. The RSUs vest contingent upon the reporting person's continued employment at the conclusion of the vesting period.
Referenced by the price of 1 transaction in Table I.
- F3
The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $45.175 to $45.445 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.