0001140361-20-029455.txt : 20201223 0001140361-20-029455.hdr.sgml : 20201223 20201223165520 ACCESSION NUMBER: 0001140361-20-029455 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201221 FILED AS OF DATE: 20201223 DATE AS OF CHANGE: 20201223 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Nelson Christopher John CENTRAL INDEX KEY: 0001808520 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39220 FILM NUMBER: 201413202 MAIL ADDRESS: STREET 1: 13995 PASTEUR BOULEVARD CITY: PALM BEACH GARDENS STATE: FL ZIP: 33418 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] 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: 8607287845 MAIL ADDRESS: STREET 1: 13995 PASTEUR BOULEVARD CITY: PALM BEACH GARDENS STATE: FL ZIP: 33418 4 1 form4.xml FORM 4 X0306 4 2020-12-21 0001783180 Carrier Global Corp CARR 0001808520 Nelson Christopher John 13995 PASTEUR BOULEVARD PALM BEACH GARDENS FL 33418 true President, HVAC Common Stock 2020-12-21 4 M 0 1829 0 A 1829 D Common Stock 2020-12-21 4 F 0 1829 38.52 D 0 D Common Stock 2020-12-21 4 M 0 2143 0 A 2143 D Common Stock 2020-12-21 4 F 0 2143 38.52 D 0 D Common Stock 2020-12-21 4 M 0 645 0 A 645 D Common Stock 2020-12-21 4 F 0 645 38.52 D 0 D Common Stock 1639 I By UTC Savings Plan Trustee Restricted Stock Unit RSU 0 2020-12-21 4 M 0 1829 0 D Common 1829 43018 D Restricted Stock Unit RSU 2020-12-21 4 M 0 2143 0 D Common 2143 50403 D Restricted Stock Unit RSU 2020-12-21 4 M 0 645 0 D Common 645 15160 D Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of Carrier common stock. The reporting person was originally granted Performance Stock Units (PSUs) on January 2, 2018, by United Technologies Corporation (UTC), the former parent company of the issuer. These PSUs were converted to RSUs in connection with the spin-off of the issuer by UTC. This transaction reflects a reduction in the RSUs otherwise deliverable upon future vesting in order to satisfy federal tax obligations with respect to the RSUs. The reporting person was originally granted PSUs on February 5, 2019, by UTC. These PSUs were converted to RSUs in connection with the spin-off of the issuer by UTC. This transaction reflects a reduction in the RSUs otherwise deliverable upon future vesting in order to satisfy federal tax obligations with respect to the RSUs. The reporting person was originally granted RSUs on January 2, 2018, by UTC. This transaction reflects a reduction in the RSUs otherwise deliverable upon future vesting in order to satisfy federal tax obligations with respect to the RSUs. /s/ Ariel R. David as Attorney-in-Fact 2020-12-23