Gitlin David L.'s Form 4 filing
Carrier Global Corp (CARR) · filed Feb 9, 2024
- Accession no.
- 0001225208-24-001805
- Filed
- Feb 9, 2024
- Trade date
- Feb 8, 2024
- Filing delay
- 1 day
- Rule 10b5-1 plan
- Not checked
This filing lists 6 non-derivative transactions and 4 derivative transactions. Open-market sales total $19.2M. 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 |
|---|---|
| Gitlin David L.CIK 0001631473 | Director, Officer (Chairman and CEO) |
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 8, 2024 | Common Stock | MOption exerciseAcquired | +320,042 | $21.43 | +$6,858,500.06 | 800,850 | Direct | |
| Feb 8, 2024 | Common Stock | MOption exerciseAcquired | +67,250 | $15.98 | +$1,074,655 | 868,100 | Direct | |
| Feb 8, 2024 | Common Stock | MOption exerciseAcquired | +46,819 | $18.53 | +$867,556.07 | 914,919 | Direct | |
| Feb 8, 2024 | Common Stock | MOption exerciseAcquired | +39,158 | $19.24 | +$753,399.92 | 954,077 | Direct | |
| Feb 8, 2024 | Common Stock | FTax withholdingDisposed | −176,730 | $54.06 | −$9,554,023.8 | 777,347 | Direct | |
| Feb 8, 2024 | Common Stock | SSaleDisposed | −354,539 | $54.16F2 | −$19,201,832.24 | 422,808 | 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 8, 2024 | Common Stock | MOption exerciseDisposed | −39,158 | $0.00 | $0 | 0 | Direct | |
| Feb 8, 2024 | Common Stock | MOption exerciseDisposed | −320,042 | $0.00 | $0 | 0 | Direct | |
| Feb 8, 2024 | Common Stock | MOption exerciseDisposed | −46,819 | $0.00 | $0 | 0 | Direct | |
| Feb 8, 2024 | Common Stock | MOption exerciseDisposed | −67,250 | $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 $53.51 to $54.665 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.