# EDGAR Filing Document

**Accession Number:** 0001783180
**File Stem:** 0001225208-23-003265
**Filing Date:** 2023-3
**Character Count:** 7423
**Document Hash:** a6e202b5e00399d994bf6143b0adf0bb
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001225208-23-003265.hdr.sgml**: 20230303

**ACCESSION NUMBER**: 0001225208-23-003265

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230302

**FILED AS OF DATE**: 20230303

**DATE AS OF CHANGE**: 20230303

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Villeneuve Nadia
- **CENTRAL INDEX KEY:** 0001808218

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-39220
- **FILM NUMBER:** 23704059

**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:** 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

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Villeneuve Nadia<br><sub>(Last) (First) (Middle)</sub><br>13995 PASTEUR BOULEVARD<br><sub>(Street)</sub><br>PALM BEACH GARDENS, FL 33418<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-03-02 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [ ] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_Senior VP & CHRO_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>CARRIER GLOBAL Corp [ CARR ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Stock | 2023-03-02 |  | M |  | 6469<sup>(1)</sup> | A | $18.8100 | 72113 | D |  |
| Common Stock | 2023-03-02 |  | S |  | 72 | D | $45.5710 | 72041 | D |  |
| Common Stock | 2023-03-02 |  | D |  | 2675<sup>(1)</sup> | D | $45.4800 | 69366 | D |  |
| Common Stock | 2023-03-02 |  | S |  | 3794 | D | 45.4806<sup>(2)</sup> | 65572 | D |  |
| Common Stock | 2023-03-02 |  | S |  | 16672 | D | 45.4421<sup>(3)</sup> | 48900 | D |  |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Stock Appreciation Right | $18.8100 | 2023-03-02 |  | M |  |  | 6469 | 2017-01-02 | 2024-01-01 | Common Stock | 6469 | $0 | 0 | D |  |

---

### Footnotes:

(1) The Stock Appreciation Rights (SARs) were settled in shares in accordance with terms of the award. For Section 16 reporting purposes, the exercise of SARs for stock is treated as an exempt acquisition of the shares underlying the SARs at the exercise price per share specified in the award of SARs and a simultaneous sale back to the issuer of a number of the underlying shares having a value, based on the market price of the issuer's stock on the date of the exercise, equal to the product of the number of underlying SARs times the exercise price per share.

(2) 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.

(3) 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.

**Signature:** /s/ William Langston as Attorney-in-Fact  
**Date:** 2023-03-03

### Remarks:

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).

** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.**