Carrier Global (NYSE: CARR) president settles 13,797 RSUs into common shares

Rhea-AI Filing Summary

Carrier Global Corp (CARR) insider Thomas Heim, President, CSE, reported the vesting and conversion of restricted stock units into common stock. On 02/01/2026, Heim exercised 13,797 restricted stock units at an exercise price of $0.0000 per unit, receiving 13,797 shares of Carrier common stock.

The Form 4 shows the derivative position in 13,797 restricted stock units going to zero and a matching increase in directly held common shares to 13,797. These restricted stock units were originally granted on February 1, 2024 and fully vested on the 2026 transaction date on a one-for-one basis into common stock.

SEC Form 4

FORM 4

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

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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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^*

Heim Thomas

(Last) (First) (Middle)

13995 PASTEUR BOULEVARD

(Street)

PALM BEACH GARDENS FL 33418

(City) (State) (Zip)

2. Issuer Name and Ticker or Trading Symbol
CARRIER GLOBAL Corp [ CARR ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	President, CSE

3. Date of Earliest Transaction (Month/Day/Year)
02/01/2026

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock	02/01/2026		M		13,797	A	$0.0000(1)	13,797	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Restricted Stock Unit RSU	(1)	02/01/2026		M			13,797	02/01/2026	(2)	Common Stock	13,797	$0.0000	0.0000	D

Explanation of Responses:

1. Restricted stock units (RSUs) convert into common stock on a one-for-one basis. RSUs include the right to receive dividend equivalents that are credited as additional RSUs.

2. On February 1, 2024, the reporting person was granted RSUs. These RSUs fully vested on the Transaction Date.

	/s/ Erin O'Neal as Attorney-in-Fact	02/03/2026
	** Signature of Reporting Person	Date
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).
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FAQ

What insider transaction did Carrier Global (CARR) report for Thomas Heim?

Carrier Global reported that President, CSE Thomas Heim converted 13,797 restricted stock units into 13,797 shares of common stock on February 1, 2026. This was recorded as a code "M" transaction, reflecting an RSU vesting and settlement into shares rather than an open-market trade.

How many Carrier Global (CARR) shares did Thomas Heim acquire in this Form 4 filing?

Thomas Heim acquired 13,797 shares of Carrier Global common stock through the vesting of restricted stock units. The RSUs converted into common stock on a one-for-one basis, leaving him with 13,797 directly owned shares following the reported transaction on February 1, 2026.

What is the nature of the restricted stock units reported by Carrier Global (CARR)?

The restricted stock units convert into Carrier Global common stock on a one-for-one basis and include the right to receive dividend equivalents. These dividend equivalents are credited as additional RSUs, which then vest and settle in the same way as the original award, according to the filing’s footnote.

When were the Carrier Global (CARR) RSUs granted and when did they vest?

The filing states that the restricted stock units were granted on February 1, 2024. These RSUs fully vested on the transaction date of February 1, 2026, at which point they were automatically converted into an equal number of Carrier Global common shares for the reporting officer.

Did Thomas Heim pay a cash exercise price for the Carrier Global (CARR) RSUs?

The Form 4 shows an exercise price of $0.0000 per restricted stock unit, indicating no cash exercise price was required. Instead, the RSUs automatically converted into 13,797 Carrier Global common shares upon vesting, consistent with typical restricted stock unit settlement mechanics.

Does the Form 4 show any remaining derivative securities for Thomas Heim at Carrier Global (CARR)?

After the reported transaction, the filing lists zero derivative securities remaining from this restricted stock unit award. The entire block of 13,797 RSUs was settled into common stock, leaving a reported derivative securities balance of 0.0000 for this particular RSU grant.