Villeneuve Nadia's Form 4 filing
Carrier Global CorpCARR · filed Mar 3, 2023
- Accession no.
- 0001225208-23-003265
- Filed
- Mar 3, 2023
- Trade date
- Mar 2, 2023
- Filing delay
- 1 day
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 5 non-derivative transactions and 1 derivative transaction. Open-market sales total $933.4K. 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 |
|---|---|
| Villeneuve NadiaCIK 0001808218 | Officer (Senior VP & CHRO) |
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 |
|---|---|---|---|---|---|---|---|---|
| Mar 2, 2023 | Common Stock | MOption exerciseAcquired | +6,469 | $18.81 | +$121,681.89 | 72,113 | Direct | |
| Mar 2, 2023 | Common Stock | SSaleDisposed | −72 | $45.57 | −$3,281.04 | 72,041 | Direct | |
| Mar 2, 2023 | Common Stock | DReturned to the companyDisposed | −2,675 | $45.48 | −$121,659 | 69,366 | Direct | |
| Mar 2, 2023 | Common Stock | SSaleDisposed | −3,794 | $45.48F2 | −$172,551.12 | 65,572 | Direct | |
| Mar 2, 2023 | Common Stock | SSaleDisposed | −16,672 | $45.44F3 | −$757,575.68 | 48,900 | 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 |
|---|---|---|---|---|---|---|---|---|
| Mar 2, 2023 | Common Stock | MOption exerciseDisposed | −6,469 | $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 $45.4805 to $48.4850 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.
- F3
The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $45.43 to $45.48 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.