0000950142-24-000042.txt : 20240104 0000950142-24-000042.hdr.sgml : 20240104 20240104210429 ACCESSION NUMBER: 0000950142-24-000042 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240102 FILED AS OF DATE: 20240104 DATE AS OF CHANGE: 20240104 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Viessmann Maximilian CENTRAL INDEX KEY: 0002004869 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39220 FILM NUMBER: 24514271 MAIL ADDRESS: STREET 1: VIESSMANNSTRABE 1 CITY: ALLENDORF (EDER) STATE: 2M ZIP: 35108 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CARRIER GLOBAL Corp CENTRAL INDEX KEY: 0001783180 STANDARD INDUSTRIAL CLASSIFICATION: AIR COND & WARM AIR HEATING EQUIP & COMM & INDL REFRIG EQUIP [3585] ORGANIZATION NAME: 06 Technology IRS NUMBER: 834051582 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 13995 PASTEUR BOULEVARD CITY: PALM BEACH GARDENS STATE: FL ZIP: 33418 BUSINESS PHONE: 5613652000 MAIL ADDRESS: STREET 1: 13995 PASTEUR BOULEVARD CITY: PALM BEACH GARDENS STATE: FL ZIP: 33418 FORMER COMPANY: FORMER CONFORMED NAME: Carrier Global Corp DATE OF NAME CHANGE: 20190722 4 1 es240434694_4-viessmann.xml OWNERSHIP DOCUMENT X0508 4 2024-01-02 0 0001783180 CARRIER GLOBAL Corp CARR 0002004869 Viessmann Maximilian 13995 PASTEUR BOULEVARD PALM BEACH GARDENS FL 33418 1 0 0 0 0 Common Stock 2024-01-02 4 A 0 58608959 A 58608959 I See Footnote Director DSU 2024-01-02 4 A 0 1647.4756 56.45 A Common Stock 1647.4756 1647.4756 D As previously disclosed, on January 2, 2024, Carrier Global Corporation (the "Issuer") completed its previously announced acquisition of the climate solutions business of Viessmann Group GmbH & Co. KG ("Viessmann Group KG"), pursuant to a Share Purchase Agreement (the "Share Purchase Agreement") by and between Viessmann Group KG, the Issuer, and Johann Purchaser GmbH ("Purchaser"), a wholly owned subsidiary of the Issuer. Pursuant to the Share Purchase Agreement, the purchase price paid by Purchaser to Viessmann Group KG consisted of (i) EUR 10.2 billion in cash, and (ii) 58,608,959 shares of the Issuer's common stock, par value $0.01 per share (the "Common Stock"), the acquisition of which is reported herein. Held by Viessmann Group KG. The reporting person serves as the President and Chief Executive Officer and the controlling stockholder of the sole general partner and sole managing limited partner of Viessmann Group KG, and accordingly may be deemed to beneficially own the shares of Common Stock held by Viessmann Group KG. The reporting person acquired these stock units under the Carrier Global Corporation Board of Directors Deferred Stock Unit Plan (the "Plan") in connection with the reporting person's annual compensation for service as a non-employee director of the Issuer. The Plan provides for payment of a portion or all of the annual compensation in Deferred Stock Units (DSUs). Upon resignation, removal, or retirement from the board of directors of the Issuer, the DSUs in the director's account under the Plan, including accrued dividend equivalents, are converted into an equal number of shares of Common Stock that, at the director's previous election, are distributed either in a lump-sum or in installments. /s/ Erin O'Neal, as Attorney-in-Fact 2024-01-04