CARR / Carrier Global Corporation - Документы SEC, Годовой отчет, Доверенное заявление

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 CARRIER GLOBAL CORPORATION (Exact Name of Reg

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 CARRIER GLOBAL CORPORATION (Exact Name of Registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation or organization) 83-4051582 (I.R.S. Employer Identificatio

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 3, 2025 CARRIER GLOBAL

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CARRIER GLOBAL CORPORATION Offer to Exchange Any and All Outstanding €750,000,000 3.625% Notes Due 2037 (ISIN: 144A XS2931344563 / Reg S XS2931344217) (Common Code: 293134456 / 293134421) up to €750,000,000 3.625% Notes Due 2037 (ISIN: XS3130166849)

TABLE OF CONTENTS Filed pursuant to Rule 424(b)(3) File No. 333-289048   CARRIER GLOBAL CORPORATION Offer to Exchange Any and All Outstanding €750,000,000 3.625% Notes Due 2037 (ISIN: 144A XS2931344563 / Reg S XS2931344217) (Common Code: 293134456 / 293134421)   for up to €750,000,000 3.625% Notes Due 2037 (ISIN: XS3130166849) (Common Code: 313016684) (CUSIP: 14448C BH6) Registered Under the Secur

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 29, 2025 CARRIER GLOBAL CORP

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 29, 2025 CARRIER GLOBAL CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-39220 83-4051582 (State or other jurisdiction of incorporation) (Commissio

Carrier Reports Strong Second Quarter 2025 Results

Exhibit 99 Carrier Reports Strong Second Quarter 2025 Results •Net sales up 3%; organic sales up 6% •GAAP EPS of $0.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 29, 2025 CARRIER GLOBAL CORP

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 29, 2025 CARRIER GLOBAL CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-39220 83-4051582 (State or other jurisdiction of incorporation) (Commissio

As filed with the Securities and Exchange Commission on July 29, 2025.

TABLE OF CONTENTS As filed with the Securities and Exchange Commission on July 29, 2025.

Calculation of Filing Fee Tables CARRIER GLOBAL Corp Table 1: Newly Registered and Carry Forward Securities

Exhibit 107 Calculation of Filing Fee Tables S-4 CARRIER GLOBAL Corp Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Carry Forward Form Type Carry Forward File Number Carry Forward Initial Effective Date Filing Fee Previously Paid in Connection with Unsold Securities to be Carried Forward Newly Registered Securities Fees to be Paid 1 Debt 3.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 10-Q ____________________________________ ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 20

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number 001-39220 CARRIER GLOBAL CORPORATION (Exact name

Filing Fee Table.

Calculation of Filing Fee Tables S-8 CARRIER GLOBAL Corp Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee 1 Equity Common stock, $0.

BUSINESS OVERVIEW

Table of Contents Exhibit 99.1 Explanatory Statement Carrier Global Corporation ("we" or "our" or the "Company") is filing the following Exhibit 99.1 to recast certain amounts previously reported in the Company's 2024 Annual Report on Form 10-K filed with the SEC on February 11, 2025 (the "2024 Form 10-K") to conform with revisions to our reportable segments made during the quarter ended March 31,

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM T-1

Exhibit 25.1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM T-1 STATEMENT OF ELIGIBILITY UNDER THE TRUST INDENTURE ACT OF 1939 OF A CORPORATION DESIGNATED TO ACT AS TRUSTEE CHECK IF AN APPLICATION TO DETERMINE ELIGIBILITY OF A TRUSTEE PURSUANT TO SECTION 305(b)(2) DEUTSCHE BANK TRUST COMPANY AMERICAS (formerly BANKERS TRUST COMPANY) (Exact name of trustee as specified

As filed with the Securities and Exchange Commission on July 29, 2025

As filed with the Securities and Exchange Commission on July 29, 2025 Registration No.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 5, 2025 CARRIER GLOBAL CORPO

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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD SPECIALIZED DISCLOSURE REPORT CARRIER GLOBAL CORPORATION (Exact name of registrant as specified in its charter)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD SPECIALIZED DISCLOSURE REPORT CARRIER GLOBAL CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-39220 83-4051582 (State or other jurisdiction of incorporation or organization) (Commission File Number) (IRS Employer Identification No.) 13995 Pasteur Boulevard Palm Beach Gardens, Florida 3341

Exhibit 1.01 – Carrier’s 202

Exhibit 1.01 CARRIER GLOBAL CORPORATION Conflict Mineral Report For the Year Ended December 31, 2024 1. Introduction Carrier Global Corporation has prepared this Conflict Minerals Report (“Report”) for the calendar year ended December 31, 2024, as required by Rule 13p-1 (“Rule”) under the Securities Exchange Act of 1934, as amended, and adopted by the Securities and Exchange Commission (“SEC”). Te

Schedule of Terms for Performance Share Unit Awards (annual) granted under the Carrier Global Corporation 2020 Long-Term Incentive Plan (rev.

Exhibit 10.1 Carrier Global Corporation 2020 Long-Term Incentive Plan Performance Share Unit Award Schedule of Terms (Rev. February 6, 2025) This Schedule of Terms describes the material features of the Participant’s Performance Share Unit Award (the “PSU Award” or the “Award”) granted under the Carrier Global Corporation 2020 Long-Term Incentive Plan (the “LTIP”), subject to this Schedule of Term

Form of Award Agreement granted under the Carrier Global Corporation 2020 Long-Term Incentive Plan*

Exhibit 10.7 Form of Carrier Award Agreement – [] Grant LTIP Award Agreement I hereby accept this award, and agree to be bound by the terms, conditions, and restrictions of such award as set forth in the Carrier Global Corporation 2020 Long-Term Incentive Plan (the “LTIP”) and the Schedule of Terms applicable to this award, including, but not limited to the post-employment restrictions set forth t

Carrier Global Corporation 2024 Segment Results

Exhibit 99.2 Carrier Global Corporation 2024 Segment Results (Unaudited) 2024 (In millions) Q1 Q2 Q3 Q4 Full Year Climate Solutions Americas Net sales $ 2,360 $ 2,865 $ 2,961 $ 2,341 $ 10,527 Segment operating profit 425 713 750 435 2,323 Segment operating margin 18.0 % 24.9 % 25.3 % 18.6 % 22.1 % Climate Solutions Europe Net sales $ 1,292 $ 1,194 $ 1,246 $ 1,252 $ 4,984 Segment operating profit 1

Carrier Summary of Compensation and Benefits for Directors (2025-2026 Board Cycle)*

Exhibit 10.8 COMPENSATION AND BENEFITS FOR NON-EMPLOYEE DIRECTORS As of February 6, 2025 The following summary of compensation and benefits for non-employee members of the Board of Directors as of the date set forth above will remain in place until amended or terminated by the Board of Directors. I.Annual Cash Retainer and Deferred Stock Unit Award: Upon election at the annual meeting, non-employe

Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 1, 2025 CARRIER GLOBAL CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-39220 83-4051582 (State or other jurisdiction of incorporation) (Commission

Schedule of Terms for Restricted Stock Unit Awards (annual) granted under the Carrier Global Corporation 2020 Long-Term Incentive Plan (

Exhibit 10.2 Carrier Global Corporation 2020 Long-Term Incentive Plan Restricted Stock Unit Award Schedule of Terms (February 6, 2025) This Schedule of Terms describes the material features of the Participant’s Restricted Stock Unit Award (the “RSU Award” or the “Award”) granted under the Carrier Global Corporation 2020 Long-Term Incentive Plan (the “LTIP”), subject to this Schedule of Terms, the

Schedule of Terms for Stock Appreciation Right Awards (annual) granted under the Carrier Global Corporation 2020 Long-Term Incentive Plan (

Exhibit 10.3 Carrier Global Corporation 2020 Long-Term Incentive Plan Stock Appreciation Right Award Schedule of Terms (February 6, 2025) This Schedule of Terms describes the material features of the Participant’s Stock Appreciation Right Award (the “SAR Award” or the “Award”) granted under the Carrier Global Corporation 2020 Long-Term Incentive Plan (the “LTIP”), subject to this Schedule of Terms

Carrier Reports Strong First Quarter 2025 Results

Exhibit 99.1 Carrier Reports Strong First Quarter 2025 Results •Net sales down 4% given prior year divestiture; organic sales up 2% •GAAP EPS of $0.47 up 147% and adjusted EPS of $0.65 up 27% •GAAP operating margin up 500 bps; adjusted operating margin up 210 bps •Net cash flows from operating activities were $483 million and free cash flow was $420 million •Returned $1.5 billion to shareholders t

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 10-Q ____________________________________ ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number 001-39220 CARRIER GLOBAL CORPORATION (Exact name

Schedule of Terms for Stock Appreciation Right Awards (off-cycle) granted under the Carrier Global Corporation 2020 Long-Term Incentive Plan (

Exhibit 10.6 Carrier Global Corporation 2020 Long-Term Incentive Plan Stock Appreciation Right Award (Off-Cycle) Schedule of Terms (Rev. February 6, 2025) This Schedule of Terms describes the material features of the Participant’s Stock Appreciation Right Award (the “SAR Award” or the “Award”) granted under the Carrier Global Corporation 2020 Long-Term Incentive Plan (the “LTIP”), subject to this

Schedule of Terms for Performance Share Unit Awards (off-cycle) granted under the Carrier Global Corporation 2020 Long-Term Incentive Plan (rev.

Exhibit 10.4 Carrier Global Corporation 2020 Long-Term Incentive Plan Performance Share Unit Award (Off-Cycle) Schedule of Terms (Rev. February 6, 2025) This Schedule of Terms describes the material features of the Participant’s Performance Share Unit Award (the “PSU Award” or the “Award”) granted under the Carrier Global Corporation 2020 Long-Term Incentive Plan (the “LTIP”), subject to this Sche

Schedule of Terms for Restricted Stock Unit Awards (off-cycle) granted under the Carrier Global Corporation 2020 Long-Term Incentive Plan (

Exhibit 10.5 Carrier Global Corporation 2020 Long-Term Incentive Plan Restricted Stock Unit Award (Off-Cycle) Schedule of Terms (Rev. February 6, 2025) This Schedule of Terms describes the material features of the Participant’s Restricted Stock Unit Award (the “RSU Award” or the “Award”) granted under the Carrier Global Corporation 2020 Long-Term Incentive Plan (the “LTIP”), subject to this Schedu

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

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Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits, Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 9, 2025 CARRIER GLOBAL CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-39220 83-4051582 (State or other jurisdiction of incorporation) (Commissio

Second Amendment to the Carrier Global Corporation 2020 Long-Term Incentive Plan, as amended.

SECOND AMENDMENT TO THE CARRIER GLOBAL CORPORATION 2020 LONG-TERM INCENTIVE PLAN The Carrier Global Corporation 2020 Long-Term Incentive Plan, effective April 3, 2020 (the “Plan”), of Carrier Global Corporation, a Delaware corporation (the “Company”), is hereby amended, effective as of the Amendment Effective Date (as defined below), as follows: 1.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. )

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) ☑ Filed by the Registrant ☐ Filed by a party other than the Registrant CHECK THE APPROPRIATE BOX: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☑ Defin

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. )

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) ☑ Filed by the Registrant ☐ Filed by a party other than the Registrant CHECK THE APPROPRIATE BOX: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defin

2025 Guidance Sales $22.5 – $23.0 billion ~$750 million revenue headwind from CCR exit Organic* up MSD FX (1%) Acquisitions 0% Divestitures (3%) Adjusted Operating Margin* 16.5% – 17.0% + ~100 bps Y/Y Adjusted EPS* $2.95 – $3.05 + ~15-20% Y/Y Free Ca

EX-99 2 a8-kerexhibit99xq42024.htm EX-99 Exhibit 99 Carrier Reports Strong 2024 Results and Announces 2025 Outlook Fourth Quarter 2024 Highlights •Sales of $5.1 billion, up 19% compared to 2023 including 6% organic growth •GAAP EPS from continuing operations of ($0.05); adjusted EPS from continuing operations of $0.54, up 50% •Operating margin expansion of 250 basis points and adjusted operating m

Carrier Global Corporation LTIP Performance Share Unit Deferral Plan*

CARRIER GLOBAL CORPORATION LTIP PERFORMANCE SHARE UNIT DEFERRAL PLAN (Effective October 13, 2022) ARTICLE I – PREAMBLE Section 1.

Carrier Summary of Compensation and Benefits for Directors (2024-2025 Board Cycle)*

COMPENSATION AND BENEFITS FOR NON-EMPLOYEE DIRECTORS (As of April 14, 2022) The following policy regarding compensation and benefits for non-employee members of the Board of Directors as of the date set forth above will remain in place until amended or terminated by the Board of Directors.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SE

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number 001-39220 CARRIER GLOBAL CORPORATION (Exact name of

Subsidiaries of the Registrant*

Exhibit 21 SUBSIDIARIES OF CARRIER GLOBAL CORPORATION The following entities are expected to be subsidiaries of Carrier Global Corporation as of December 31, 2024: Subsidiary State or Country of Incorporation or Organization AHI Carrier FZC, United Arab Emirates United Arab Emirates Ainsworth Holdings SAS, France France AIR-COND International GmbH, Austria Austria AirJoule Technologies LLC, Delaware Delaware Alarko Carrier Sanayi ve Ticaret A.

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 11, 2025 CARRIER GLOBAL CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-39220 83-4051582 (State or other jurisdiction of incorporation) (Commi

Carrier Global Corporation Clawback Policy*

Exhibit 97 CARRIER GLOBAL CORPORATION CLAWBACK POLICY EFFECTIVE OCTOBER 2, 2023 Carrier Global Corporation (the “Company”) has adopted this Clawback Policy (“Policy”) in accordance with New York Stock Exchange (the “Exchange”) listing requirements.

Description of Securities*

DESCRIPTION OF THE REGISTRANT’S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 As of the date of the Annual Report on Form 10-K of which this exhibit is a part, Carrier Global Corporation (the “Company,” “Carrier,” “we,” “us,” and “our”) has three classes of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), (1) our common stock, par value $0.

Carrier Global Corporation Appoints Amy Miles to its Board of Directors

EXHIBIT 99.1 For Immediate Release Contact: Media Inquiries Rob Six 561-281-2362 [email protected] Investor Relations Michael Rednor 561-365-2020 [email protected] Carrier Global Corporation Appoints Amy Miles to its Board of Directors PALM BEACH GARDENS, Fla., Jan. 15, 2025 — Carrier Global Corporation (NYSE: CARR), global leader in intelligent climate and energy solutions, today

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

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Revolving Credit Agreement, dated as of December 20, 2024, among Carrier Global Corporation, Carrier Intercompany Lending Designated Activity Company and Carrier Treasury Services Ireland Limited as borrowers, the lenders party thereto, and JPMorgan Chase Bank, N.A., as administrative agent.

Execution Version REVOLVING CREDIT AGREEMENT dated as of December 20, 2024, among CARRIER GLOBAL CORPORATION, the SUBSIDIARY BORROWERS party hereto, the LENDERS party hereto and JPMORGAN CHASE BANK, N.

Entry into a Material Definitive Agreement, Termination of a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 20, 2024 CARRIER GLOBAL CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-39220 83-4051582 (State or other jurisdiction of incorporation) (Commi

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

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Carrier Completes Strategic Portfolio Transformation with Closing of $3B Sale of its Commercial and Residential Fire Business

EXHIBIT 99.1 For Immediate Release Carrier Completes Strategic Portfolio Transformation with Closing of $3B Sale of its Commercial and Residential Fire Business PALM BEACH GARDENS, Fla., December 2, 2024 – Carrier Global Corporation (NYSE: CARR), global leader in intelligent climate and energy solutions, today announced it has completed the sale of its Commercial and Residential Fire business to a

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 2, 2024 CARRIER GLOBAL C

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CARR / Carrier Global Corporation / Viessmann Group GmbH & Co. KG - FORM SC 13D/A Activist Investment

SC 13D/A 1 dp221396sc13da-5.htm FORM SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 5) Carrier Global Corporation (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 14448C104 (CUSIP Number) Viessmann Generations Group GmbH & Co. KG Im Birkenried 1 35088 Bat

Contribution Agreement, dated as of November 26, 2024, by and among Viessmann Generations Group GmbH & Co. KG and Viessmann Traeger HoldCo GmbH.

EX-99.12 2 dp221396ex9912.htm EXHIBIT 99.12 Exhibit 99.12 Einlage- und Abtretungsvertrag Contribution and Transfer Agreement zwischen by and between der Viessmann Generations Group GmbH & Co. KG mit Sitz in Battenberg (Eder) (Amtsgericht Marburg, HRA 3389) (die „Group KG“) Viessmann Generations Group GmbH & Co. KG with registered office in Battenberg (Eder) (local court of Marburg, HRA 3389) (“Gro

CARR / Carrier Global Corporation / Viessmann Group GmbH & Co. KG - FORM SC 13D/A Activist Investment

SC 13D/A 1 dp220965sc13da-4.htm FORM SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 4) Carrier Global Corporation (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 14448C104 (CUSIP Number) Viessmann Generations Group GmbH & Co. KG Im Birkenried 1 35088 Bat

Contribution Agreement, dated as of November 19, 2024, by and among Viessmann Generations Group GmbH & Co. KG and Viessmann Traeger HoldCo GmbH.

EX-99.11 2 dp220965ex9911.htm EXHIBIT 99.11 Exhibit 99.11 Einlage- und Abtretungsvertrag Contribution and Transfer Agreement zwischen by and between der Viessmann Generations Group GmbH & Co. KG mit Sitz in Battenberg (Eder) (Amtsgericht Marburg, HRA 3389) (die „Group KG“) Viessmann Generations Group GmbH & Co. KG with registered office in Battenberg (Eder) (local court of Marburg, HRA 3389) (“Gro

Contribution Agreement, dated as of November 14, 2024, by and among Viessmann Generations Group GmbH & Co. KG and Viessmann Traeger HoldCo GmbH (incorporated by reference to Exhibit 99.10 to the Amendment No. 3).

EX-99.10 2 dp220767ex9910.htm EXHIBIT 99.10 EXHIBIT 99.10 CONTRIBUTION AGREEMENT Einlage- und Abtretungsvertrag Contribution and Transfer Agreement zwischen by and between der Viessmann Generations Group GmbH & Co. KG mit Sitz in Battenberg (Eder) (Amtsgericht Marburg, HRA 3389) (die „Group KG“) Viessmann Generations Group GmbH & Co. KG with registered office in Battenberg (Eder) (local court of M

CARR / Carrier Global Corporation / Viessmann Group GmbH & Co. KG - FORM SC 13D/A Activist Investment

SC 13D/A 1 dp220767sc13da-3.htm FORM SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 3) Carrier Global Corporation (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 14448C104 (CUSIP Number) Viessmann Generations Group GmbH & Co. KG Im Birkenried 1 35088 Bat

CARR / Carrier Global Corporation / Capital World Investors - SEC SCHEDULE 13G Passive Investment

SC 13G/A 1 SEC13GFiling.htm SEC SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4 )* Carrier Global Corp. (Name of Issuer) Common Stock (Title of Class of Securities) 14448C104 (CUSIP Number) September 30, 2024 (Date of Event Which Requires Filing of this Statement) Check the appropriate box

Contribution Agreement, dated as of November 12, 2024, by and among Viessmann Generations Group GmbH & Co. KG and Viessmann Traeger HoldCo GmbH (incorporated by reference to Exhibit 99.9 to the Amendment No. 2).

EXHIBIT 99.9 CONTRIBUTION AGREEMENT Einlage- und Abtretungsvertrag Contribution and Transfer Agreement zwischen by and between der Viessmann Generations Group GmbH & Co. KG mit Sitz in Battenberg (Eder) (Amtsgericht Marburg, HRA 3389) (die „Group KG“) Viessmann Generations Group GmbH & Co. KG with registered office in Battenberg (Eder) (local court of Marburg, HRA 3389) (“Group KG”) und and der Vi

JOINT FILING AGREEMENT

EX-99.1 2 dp220653ex9901.htm EXHIBIT 99.1 EXHIBIT 99.1 JOINT FILING AGREEMENT Each of the undersigned hereby agrees that the Schedule 13D, dated November 13, 2024, with respect to the common stock, par value $0.01 per share, of Carrier Global Corporation (the “Schedule 13D”) is, and any and all subsequent amendments thereto shall be, filed on behalf of each of the undersigned pursuant to and in ac

Limited Power of Attorney of Maximilian Viessmann, dated as of November 13, 2024 (incorporated by reference to Exhibit 99.7 to the Amendment No. 2).

EXHIBIT 99.7 LIMITED POWER OF ATTORNEY The undersigned does hereby make, constitute, and appoint each of Ole Oldenburg and Nadja Hanuschkiewitz, acting individually with full power of substitution, as the undersigned’s true and lawful attorney-in-fact, to act for the undersigned and in the undersigned’s name, place and stead, to: (a) prepare, execute, deliver, and file, for and on behalf of the un

CARR / Carrier Global Corporation / Viessmann Group GmbH & Co. KG - FORM SC 13D/A Activist Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 2) Carrier Global Corporation (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 14448C104 (CUSIP Number) Viessmann Generations Group GmbH & Co. KG Im Birkenried 1 35088 Battenberg (Eder) Germany +49 (0) 6452 9296 000 W

EX-99.25

EX-99.25 2 ruleprovisionnotice.htm NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The New York Stock Exchange hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on November 19, 2024, pursuant to the provisions of Rule 12d2-2 (a). [ X ] 17 CFR 240.12

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 8, 2024 CARRIER GLOBAL C

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Registration Rights Agreement, dated November 8, 2024, by and among Carrier, J.P. Morgan Securities plc, HSBC Continental Europe, Morgan Stanley & Co. International plc, Merrill Lynch International, Citigroup Global Markets Limited, Goldman Sachs & Co. LLC, UniCredit Bank GmbH, Barclays Bank PLC, BNP Paribas, Deutsche Bank AG, London Branch, Mizuho International plc, MUFG Securities EMEA plc, SMBC Bank International plc, Wells Fargo Securities International Limited, Bank of Montreal, London Branch, Commerzbank Aktiengesellschaft, ICBC Standard Bank plc, Intesa Sanpaolo S.p.A., Loop Capital Markets LLC, Siebert Williams Shank & Co., LLC, Société Générale and Standard Chartered Bank.

EXHIBIT 4.2 REGISTRATION RIGHTS AGREEMENT This REGISTRATION RIGHTS AGREEMENT dated November 8, 2024 (this “Agreement”) is entered into by and among Carrier Global Corporation, a Delaware corporation (the “Company”) and J.P. Morgan Securities plc, HSBC Continental Europe, Morgan Stanley & Co. International plc, Merrill Lynch International, Citigroup Global Markets Limited, Goldman Sachs & Co. LLC,

Supplemental Indenture No. 3, dated November 8, 2024, between Carrier Global Corporation and Deutsche Bank Trust Company Americas

EXHIBIT 4.1 SUPPLEMENTAL INDENTURE NO. 3 SUPPLEMENTAL INDENTURE NO. 3, dated as of November 8, 2024 (the “Supplemental Indenture”), between CARRIER GLOBAL CORPORATION, a corporation duly organized and existing under the laws of the State of Delaware (the “Company”), and DEUTSCHE BANK TRUST COMPANY AMERICAS, a banking corporation duly organized and existing under the laws of the State of New York,

Other Events

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Other Events

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Settlement and Plan Support Agreement, dated as of October 18, 2024

Execution Version THIS SUPPORT AGREEMENT IS NOT A SOLICITATION, OFFER, OR ACCEPTANCE WITH RESPECT TO ANY SECURITIES OR A SOLICITATION OF ACCEPTANCES OF A CHAPTER 11 PLAN WITHIN THE MEANING OF SECTION 1125 OF THE BANKRUPTCY CODE.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 10-Q ____________________________________ ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 3

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number 001-39220 CARRIER GLOBAL CORPORATION (Exact

Letter Re: Unaudited Interim Financial Information*

Exhibit 15 October 25, 2024 Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Commissioners: We are aware that our report dated October 25, 2024 on our review of interim financial information of Carrier Global Corporation, which appears in this Quarterly Report on Form 10-Q, is incorporated by reference in the Registration Statements on Form S-3 (No. 333-237157) and Form S

Carrier Reports Strong Third Quarter 2024 Results

Exhibit 99 Carrier Reports Strong Third Quarter 2024 Results •Fire & Security segment now reported as discontinued operations making prior guidance not comparable •Net sales of $6.

Regulation FD Disclosure, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 24, 2024 CARRIER GLOBAL CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-39220 83-4051582 (State or other jurisdiction of incorporation) (Commis

Entry into a Material Definitive Agreement

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Regulation FD Disclosure, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 15, 2024 CARRIER GLOBAL CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-39220 83-4051582 (State or other jurisdiction of incorporation) (Commiss

Carrier Announces Agreement to Sell Commercial and Residential Fire Business to an Affiliate of Lone Star Funds for $3 Billion

Exhibit 99.1 For Immediate Release Carrier Announces Agreement to Sell Commercial and Residential Fire Business to an Affiliate of Lone Star Funds for $3 Billion PALM BEACH GARDENS, Fla., August 15, 2024 – Carrier Global Corporation (NYSE: CARR), global leader in intelligent climate and energy solutions, entered into a definitive agreement today to sell its Commercial and Residential Fire business

Carrier Reports Strong Second Quarter 2024 Results

Exhibit 99 Carrier Reports Strong Second Quarter 2024 Results •Net sales of $6.7 billion up 12% versus second quarter 2023; organic sales up 2% •GAAP EPS of $2.55 up significantly and adjusted EPS of $0.87 up double-digits •GAAP operating margin expanded significantly year over year; adjusted operating margin expanded 200 bps •Reaffirming full year 2024 adjusted EPS guidance range •Closed two of f

Letter Re: Unaudited Interim Financial Information*

Exhibit 15 July 25, 2024 Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Commissioners: We are aware that our report dated July 25, 2024 on our review of interim financial information of Carrier Global Corporation, which appears in this Quarterly Report on Form 10-Q, is incorporated by reference in the Registration Statements on Form S-3 (No. 333-237157) and Form S-8 (No

Letter Agreement, dated June 24, 2024, by and between Carrier Corporation and Jurgen Timperman*

Carrier 13995 Pasteur Boulevard Palm Beach Gardens, FL 33410 June 24, 2024 Jurgen Timperman President, Fire & Security 7778 SE County Estates Way Jupiter, FL 33458 Dear Jurgen, This letter agreement (this “Agreement”) sets forth certain terms and conditions relating to your separation from service with Carrier Global Corporation and its subsidiaries (the “Company”).

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 25, 2024 CARRIER GLOBAL CORP

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 25, 2024 CARRIER GLOBAL CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-39220 83-4051582 (State or other jurisdiction of incorporation) (Commissio

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 10-Q ____________________________________ ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 20

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number 001-39220 CARRIER GLOBAL CORPORATION (Exact name

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

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Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 18, 2024 CARRIER GLOBAL CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-39220 83-4051582 (State or other jurisdiction of incorporation) (Commissio

Third Amended and Restated Bylaws of Carrier Global Corporation

carrier-bylawsar AMENDED AND RESTATED BYLAWS OF CARRIER GLOBAL CORPORATION Incorporated under the Laws of the State of Delaware These Amended and Restated Bylaws (the “Bylaws”) of Carrier Global Corporation, a Delaware corporation, are effective as of June 6, 2024.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 6, 2024 CARRIER GLOBAL CORPO

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 6, 2024 CARRIER GLOBAL CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-39220 83-4051582 (State or other jurisdiction of incorporation) (Commission

CARRIER GLOBAL CORPORATION 13995 Pasteur Boulevard Palm Beach Gardens, Florida 33418

CARRIER GLOBAL CORPORATION 13995 Pasteur Boulevard Palm Beach Gardens, Florida 33418 June 7, 2024 Division of Corporation Finance Office of Technology United States Securities and Exchange Commission 100 F Street, N.

Carrier Announces Close of $4.95B Sale of its Global Access Solutions Business

EXHIBIT 99 Carrier Announces Close of $4.95B Sale of its Global Access Solutions Business · Advances Carrier’s transformation into a focused global leader in intelligent climate and energy solutions · Net proceeds of $4B expected to be used to pay down debt and help reduce net leverage to approximately 2x EBITDA · Positions Carrier to resume share repurchases in 2024 PALM BEACH GARDENS, Fla, June

Regulation FD Disclosure, Termination of a Material Definitive Agreement, Financial Statements and Exhibits

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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD SPECIALIZED DISCLOSURE REPORT CARRIER GLOBAL CORPORATION (Exact name of registrant as specified in its charter)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD SPECIALIZED DISCLOSURE REPORT CARRIER GLOBAL CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-39220 83-4051582 (State or other jurisdiction of incorporation or organization) (Commission File Number) (IRS Employer Identification No.) 13995 Pasteur Boulevard Palm Beach Gardens Florida 33418

Exhibit 1.01 – Carrier’s 202

Exhibit 1.01 CARRIER GLOBAL CORPORATION Conflict Mineral Report For the Year Ended December 31, 2023 1. Introduction Carrier Global Corporation has prepared this Conflict Minerals Report (“Report”) for the calendar year ended December 31, 2023, as required by Rule 13p-1 (“Rule”) under the Securities Exchange Act of 1934, as amended, and adopted by the Securities and Exchange Commission (“SEC”). Te

, 2024, among Carrier Global Corporation and Carrier Intercompany Lending Designated Activity Company as borrowers, the lenders party thereto, and JPMorgan Chase Bank, N.A., as administrative agent.

Execution Version 364-DAY REVOLVING CREDIT AGREEMENT dated as of May 17, 2024, among CARRIER GLOBAL CORPORATION, the SUBSIDIARY BORROWERS party hereto, the LENDERS party hereto and JPMORGAN CHASE BANK, N.

Entry into a Material Definitive Agreement, Termination of a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 17, 2024 CARRIER GLOBAL CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-39220 83-4051582 (State or other jurisdiction of incorporation) (Commission

Schedule of Terms for Performance Share Unit Awards (off-cycle) granted under the Carrier Global Corporation 2020 Long-Term Incentive Plan (rev.

Carrier Global Corporation 2020 Long-Term Incentive Plan Performance Share Unit Award (Off-Cycle) Schedule of Terms (Rev.

Schedule of Terms for Performance Share Unit Awards (supplemental) granted under the Carrier Global Corporation 2020 Long-Term Incentive Plan (Supplemental Retention Award January 30, 2024)

Carrier Global Corporation 2020 Long-Term Incentive Plan Performance Share Unit Award Schedule of Terms (Supplemental Retention Award January 30, 2024) This Schedule of Terms describes the material features of the Participant’s Performance Share Unit Award (the “PSU Award” or the “Award”) granted under the Carrier Global Corporation 2020 Long-Term Incentive Plan (the “LTIP”), subject to this Schedule of Terms, the Award Agreement, and the terms and conditions set forth in the LTIP.

Schedule of Terms for Performance Share Unit Awards (annual) granted under the Carrier Global Corporation 2020 Long-Term Incentive Plan (rev.

Carrier Global Corporation 2020 Long-Term Incentive Plan Performance Share Unit Award Schedule of Terms (Rev.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 10-Q ____________________________________ ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number 001-39220 CARRIER GLOBAL CORPORATION (Exact name

Carrier Global Corporation 2020 Long-Term Incentive Plan*

Form of Carrier Award Agreement – [] Grant LTIP Award Agreement I hereby accept this award, and agree to be bound by the terms, conditions, and restrictions of such award as set forth in the Carrier Global Corporation 2020 Long-Term Incentive Plan (the “LTIP”) and the Schedule of Terms applicable to this award, including, but not limited to the post-employment restrictions set forth therein (confidentiality, non-competition, non-solicitation, and non-disparagement), and the associated restrictive period.

Schedule of Terms for Restricted Stock Unit Awards (off-cycle) granted under the Carrier Global Corporation 2020 Long-Term Incentive Plan (

Carrier Global Corporation 2020 Long-Term Incentive Plan Restricted Stock Unit Award (Off-Cycle) Schedule of Terms (January 30, 2024) This Schedule of Terms describes the material features of the Participant’s Restricted Stock Unit Award (the “RSU Award” or the “Award”) granted under the Carrier Global Corporation 2020 Long-Term Incentive Plan (the “LTIP”), subject to this Schedule of Terms, the Award Agreement, and the terms and conditions set forth in the LTIP.

Letter Re: Unaudited Interim Financial Information*

Exhibit 15 April 25, 2024 Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Commissioners: We are aware that our report dated April 25, 2024 on our review of interim financial information of Carrier Global Corporation, which appears in this Quarterly Report on Form 10-Q, is incorporated by reference in the Registration Statements on Form S-3 (No. 333-237157) and Form S-8 (

Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 25, 2024 CARRIER GLOBAL CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-39220 83-4051582 (State or other jurisdiction of incorporation) (Commissi

annual) granted under the Carrier Global Corporation 2020 Long-Term Incentive Plan (rev. January 30, 2024)*

Carrier Global Corporation 2020 Long-Term Incentive Plan Performance Share Unit Award Schedule of Terms (Rev.

Schedule of Terms for Stock Appreciation Right Awards (off-cycle) granted under the Carrier Global Corporation 2020 Long-Term Incentive Plan (

Carrier Global Corporation 2020 Long-Term Incentive Plan Stock Appreciation Right Award (Off-Cycle) Schedule of Terms (January 30, 2024) This Schedule of Terms describes the material features of the Participant’s Stock Appreciation Right Award (the “SAR Award” or the “Award”) granted under the Carrier Global Corporation 2020 Long-Term Incentive Plan (the “LTIP”), subject to this Schedule of Terms, the Award Agreement, and the terms and conditions set forth in the LTIP.

Awards (supplemental) granted under the Carrier Global Corporation 2020 Long-Term Incentive Plan (Supplemental Retention Award January 30, 2024)*

Carrier Global Corporation 2020 Long-Term Incentive Plan Stock Appreciation Right Award Schedule of Terms (Supplemental Retention Award January 30, 2024) This Schedule of Terms describes the material features of the Participant’s Stock Appreciation Right Award (the “SAR Award” or the “Award”) granted under the Carrier Global Corporation 2020 Long-Term Incentive Plan (the “LTIP”), subject to this Schedule of Terms, the Award Agreement, and the terms and conditions set forth in the LTIP.

Carrier Reports Strong First Quarter 2024 Results

Exhibit 99 Carrier Reports Strong First Quarter 2024 Results •Net sales up 17% versus first quarter 2023; organic sales up 2% •GAAP EPS of $0.

Schedule of Terms for Restricted Stock Unit Awards (annual) granted under the Carrier Global Corporation 2020 Long-Term Incentive Plan (

Carrier Global Corporation 2020 Long-Term Incentive Plan Restricted Stock Unit Award Schedule of Terms (January 30, 2024) This Schedule of Terms describes the material features of the Participant’s Restricted Stock Unit Award (the “RSU Award” or the “Award”) granted under the Carrier Global Corporation 2020 Long-Term Incentive Plan (the “LTIP”), subject to this Schedule of Terms, the Award Agreement, and the terms and conditions set forth in the LTIP.

Schedule of Terms for Stock Appreciation Right Awards (annual) granted under the Carrier Global Corporation 2020 Long-Term Incentive Plan (

Carrier Global Corporation 2020 Long-Term Incentive Plan Stock Appreciation Right Award Schedule of Terms (January 30, 2024) This Schedule of Terms describes the material features of the Participant’s Stock Appreciation Right Award (the “SAR Award” or the “Award”) granted under the Carrier Global Corporation 2020 Long-Term Incentive Plan (the “LTIP”), subject to this Schedule of Terms, the Award Agreement, and the terms and conditions set forth in the LTIP.

Financial Statements and Exhibits, Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 18, 2024 CARRIER GLOBAL CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-39220 83-4051582 (State or other jurisdiction of incorporation) (Commissi

Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A Amendment No. 1 CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 18, 2024 CARRIER GLOBAL CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-39220 83-4051582 (State or other jurisdiction of incorp

Carrier Global Corporation

Carrier Global Corporation Shareowner Alert Voluntary submission by John Chevedden, POB 2673, Redondo Beach, CA 90278 To Carrier Shareowners: I urge shareowners to vote FOR Proposal 4 at the shareowner meeting.

Limited Power of Attorney of Maximilian Viessmann, dated as of March 21, 2024.

EXHIBIT 99.7 LIMITED POWER OF ATTORNEY The undersigned does hereby make, constitute, and appoint each of Ole Oldenburg and Nadja Hanuschkiewitz, acting individually with full power of substitution, as the undersigned’s true and lawful attorney-in-fact, to act for the undersigned and in the undersigned’s name, place and stead, to: (a) prepare, execute, deliver, and file, for and on behalf of the un

CARR / Carrier Global Corporation / Viessmann Group GmbH & Co. KG - FORM SC 13D/A Activist Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 1) Carrier Global Corporation (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 14448C104 (CUSIP Number) Viessmann Group GmbH & Co. KG Im Birkenried 1 35088 Battenberg Germany +49 (0) 6452 9296 000 With a copy to: Leo

Joint Filing Agreement, dated as of March 21, 2024, by and among Johanna 391 Vermögensverwaltungs GmbH, Viessmann Group GmbH & Co. KG, Viessmann Komplementär B.V., Viessmann Beteiligungs AG and Maximilian Viessmann.

EXHIBIT 99.1 JOINT FILING AGREEMENT Each of the undersigned hereby agrees that the Schedule 13D, dated March 21, 2024, with respect to the common stock, par value $0.01 per share, of Carrier Global Corporation (the “Schedule 13D”) is, and any and all subsequent amendments thereto shall be, filed on behalf of each of the undersigned pursuant to and in accordance with the provisions of Rule 13d-1(k)

Contribution Agreement, dated as of March 21, 2024, by and among Viessmann Group GmbH & Co. KG and Johanna 391 Vermögensverwaltungs GmbH (subsequently renamed to Viessmann Traeger HoldCo GmbH) (incorporated by reference to Exhibit 99.8 to the Amendment No. 1).

EXHIBIT 99.8 CONTRIBUTION AGREEMENT Einlage- und Abtretungsvertrag Contribution and Transfer Agreement zwischen by and between der Viessmann Group GmbH & Co. KG mit Sitz in Allendorf (Eder) (Amtsgericht Marburg, HRA 3389) (die „Group KG“) Viessmann Group GmbH & Co. KG with registered office in Allendorf (Eder) (local court of Marburg, HRA 3389) (“Group KG”) und and der Johanna 391 Vermögensverwalt

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. )

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) ☑ Filed by the Registrant ☐ Filed by a party other than the Registrant CHECK THE APPROPRIATE BOX: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☑ Defin

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. )

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) ☑ Filed by the Registrant ☐ Filed by a party other than the Registrant CHECK THE APPROPRIATE BOX: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defin

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 CARRIER GLOBAL CORPORATION (Exact Name of Reg

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 CARRIER GLOBAL CORPORATION (Exact Name of Registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation or organization) 83-4051582 (I.R.S. Employer Identificatio

CARR / Carrier Global Corporation / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment

SC 13G/A 1 tv0541-carrierglobalcorp.htm SCHEDULE 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 4)* Name of issuer: Carrier Global Corp Title of Class of Securities: Common Stock CUSIP Number: 14448C104 Date of Event Which Requires Filing of this Statement: December 29, 2023 Check the appropriate box to designa

CARR / Carrier Global Corporation / Capital Research Global Investors - SEC SCHEDULE 13G Passive Investment

SC 13G/A 1 SEC13GFiling.htm SEC SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4 )* Carrier Global Corp. (Name of Issuer) Common Stock (Title of Class of Securities) 14448C104 (CUSIP Number) December 29, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box t

CARR / Carrier Global Corporation / Capital World Investors - SEC SCHEDULE 13G Passive Investment

SC 13G/A 1 SEC13GFiling.htm SEC SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3 )* Carrier Global Corp. (Name of Issuer) Common Stock (Title of Class of Securities) 14448C104 (CUSIP Number) December 29, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box t

CARR / Carrier Global Corporation / Capital International Investors - SEC SCHEDULE 13G Passive Investment

SC 13G/A 1 SEC13GFiling.htm SEC SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3 )* Carrier Global Corp. (Name of Issuer) Common Stock (Title of Class of Securities) 14448C104 (CUSIP Number) December 29, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box t

2024 Guidance** Sales ~$26.5B Organic* up MSD FX 0% Acquisitions +20% Divestitures (5%) Adjusted Operating Margin* 15.0% - 15.5% Adjusted EPS* $2.80 - $2.90 Free Cash Flow* ~$0.7B Includes $1.7B of expected tax payments on the gains from the announce

Exhibit 99 Carrier Reports Strong 2023 Results and Announces 2024 Outlook Fourth Quarter 2023 Highlights •Sales of $5.

Subsidiaries of the Registrant*

Exhibit 21 SUBSIDIARIES OF CARRIER GLOBAL CORPORATION The following entities are expected to be subsidiaries of Carrier Global Corporation as of December 31, 2023: Subsidiary State or Country of Incorporation or Organization Access Solutions Belgium BV, Belgium Belgium Access Solutions Netherlands B.

Carrier Summary of Compensation and Benefits for Directors (2024-2025 Board Cycle)*

COMPENSATION AND BENEFITS FOR NON-EMPLOYEE DIRECTORS (As of April 14, 2022) The following policy regarding compensation and benefits for non-employee members of the Board of Directors as of the date set forth above will remain in place until amended or terminated by the Board of Directors.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K _________________________________________ ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31,

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number 001-39220 CARRIER GLOBAL CORPORATION (Exact name of

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 6, 2024 CARRIER GLOBAL CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-39220 83-4051582 (State or other jurisdiction of incorporation) (Commis

Carrier Global Corporation Clawback Policy

Exhibit 97 CARRIER GLOBAL CORPORATION CLAWBACK POLICY EFFECTIVE OCTOBER 2, 2023 Carrier Global Corporation (the “Company”) has adopted this Clawback Policy (“Policy”) in accordance with New York Stock Exchange (the “Exchange”) listing requirements.

Carrier Global Corporation LTIP Performance Share Unit Deferral Plan*

CARRIER GLOBAL CORPORATION LTIP PERFORMANCE SHARE UNIT DEFERRAL PLAN (Effective October 13, 2022) ARTICLE I – PREAMBLE Section 1.

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 30, 2024 CARRIER GLOBAL CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-39220 83-4051582 (State or other jurisdiction of incorporation) (Commis

CARRIER GLOBAL CORPORATION Offers to Exchange New Notes Set Forth Below Registered Under the Securities Act of 1933, as amended, Any and All Corresponding Outstanding Old Notes Set Forth Opposite Below

TABLE OF CONTENTS Filed pursuant to Rule 424(b)(3) File No. 333-276527   CARRIER GLOBAL CORPORATION   Offers to Exchange New Notes Set Forth Below Registered Under the Securities Act of 1933, as amended, for Any and All Corresponding Outstanding Old Notes Set Forth Opposite Below New Notes Old Notes €750,000,000 4.375% NOTES DUE 2025 (CUSIP 14448C BE3) (ISIN XS2751688743) (COMMON CODE 275168874) €

CARRIER GLOBAL CORPORATION 13995 Pasteur Boulevard Palm Beach Gardens, Florida 33418

CARRIER GLOBAL CORPORATION 13995 Pasteur Boulevard Palm Beach Gardens, Florida 33418 January 19, 2024 United States Securities and Exchange Commission Division of Corporation Finance, Office of Technology 100 F.

Calculation of Filing Fee Tables Form S-4 (Form Type) Carrier Global Corporation (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities

Exhibit 107 Calculation of Filing Fee Tables Form S-4 (Form Type) Carrier Global Corporation (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Unit Proposed Maximum Aggregate Offering Price (1) Fee Rate Amount of Registration Fee (2) Fees to Be Paid Debt 4.

CARRIER GLOBAL CORPORATION 13995 Pasteur Boulevard Palm Beach Gardens, Florida 33418

CARRIER GLOBAL CORPORATION 13995 Pasteur Boulevard Palm Beach Gardens, Florida 33418 January 16, 2024 VIA EDGAR U.

LETTER OF TRANSMITTAL To Tender for Exchange €750,000,000 aggregate principal amount 4.375% Notes due 2025 (Common Code 272357153 / 272356955) (144A XS2723571530 / RegS XS2723569559) €750,000,000 aggregate principal amount 4.125% Notes due 2028 (Comm

Exhibit 99.1 LETTER OF TRANSMITTAL To Tender for Exchange €750,000,000 aggregate principal amount 4.375% Notes due 2025 (Common Code 272357153 / 272356955) (144A XS2723571530 / RegS XS2723569559) €750,000,000 aggregate principal amount 4.125% Notes due 2028 (Common Code 272357668 / 272357587) (144A XS2723576687 / RegS XS2723575879) €850,000,000 aggregate principal amount 4.500% Notes due 2032 (Com

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM T-1

Exhibit 25.1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM T-1 STATEMENT OF ELIGIBILITY UNDER THE TRUST INDENTURE ACT OF 1939 OF A CORPORATION DESIGNATED TO ACT AS TRUSTEE CHECK IF AN APPLICATION TO DETERMINE ELIGIBILITY OF A TRUSTEE PURSUANT TO SECTION 305(b)(2) DEUTSCHE BANK TRUST COMPANY AMERICAS (formerly BANKERS TRUST COMPANY) (Exact name of trustee as specified

As filed with the Securities and Exchange Commission on January 16, 2024.

TABLE OF CONTENTS As filed with the Securities and Exchange Commission on January 16, 2024.

January 16, 2024

Exhibit 15.1 January 16, 2024 Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Commissioners: We are aware that our reports dated April 26, 2023, July 27, 2023, and October 26, 2023 on our reviews of interim financial information of Carrier Global Corporation, which are included in the Company’s Quarterly Reports on Form 10-Q for the quarters ended March 31, 2023, June 30

Limited Power of Attorney of Maximilian Viessmann, dated as of January 9, 2024.

Exhibit 99.7 EXHIBIT 99.7 LIMITED POWER OF ATTORNEY The undersigned does hereby make, constitute, and appoint each of Ole Oldenburg and Nadja Hanuschkiewitz, acting individually with full power of substitution, as the undersigned’s true and lawful attorney-in-fact, to act for the undersigned and in the undersigned’s name, place and stead, to: (a) prepare, execute, deliver, and file, for and on beh

Joint Filing Agreement, dated as of January 9, 2024, by and among Viessmann Group GmbH & Co. KG, Viessmann Komplementär B.V., Viessmann Beteiligungs AG and Maximilian Viessmann.

EX-99.1 2 dp205022ex9901.htm EXHIBIT 99.1 Exhibit 99.1 EXHIBIT 99.1 JOINT FILING AGREEMENT Each of the undersigned hereby agrees that the Schedule 13D, dated January 9, 2024, with respect to the common stock, par value $0.01 per share, of Carrier Global Corporation (the “Schedule 13D”) is, and any and all subsequent amendments thereto shall be, filed on behalf of each of the undersigned pursuant t

Transitional Services Agreement, dated as of January 2, 2024, by and among Carrier Global Corporation, Viessmann Climate Solutions SE and Viessmann Group GmbH & Co. KG. (incorporated by reference to Exhibit 99.6 to the Original Schedule 13D).

EX-99.6 4 dp205022ex9906.htm EXHIBIT 99.6 Exhibit 99.6 CERTAIN INFORMATION CONTAINED IN THIS AGREEMENT HAS BEEN OMITTED BY MEANS OF REDACTING A PORTION OF THE TEXT AND REPLACING IT WITH [***] BECAUSE IT IS BOTH: (I) NOT MATERIAL AND (II) OF A TYPE THAT THE FILER TREATS AS PRIVATE OR CONFIDENTIAL. Transitional ServIces Agreement Table of Contents 1. Interpretation and Definitions 4 2. TSA Services

Post-Closing Amendment to Share Purchase Agreement, dated as of January 2, 2024, by and among Carrier Global Corporation, Johann Purchaser GmbH and Viessmann Group GmbH & Co. KG. (incorporated by reference to Exhibit 99.3 to the Original Schedule 13D).

EX-99.3 3 dp205022ex9903.htm EXHIBIT 99.3 Exhibit 99.3 CERTAIN INFORMATION CONTAINED IN THIS AGREEMENT HAS BEEN OMITTED BY MEANS OF REDACTING A PORTION OF THE TEXT AND REPLACING IT WITH [***] BECAUSE IT IS BOTH: (I) NOT MATERIAL AND (II) OF A TYPE THAT THE FILER TREATS AS PRIVATE OR CONFIDENTIAL. Post-Closing Amendment to the Share Purchase Agreement Regarding the sale and transfer of the Climate

CARR / Carrier Global Corporation / Viessmann Group GmbH & Co. KG - FORM SC 13D Activist Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 Carrier Global Corporation (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 14448C104 (CUSIP Number) Viessmann Group GmbH & Co. KG Im Birkenried 1 35088 Battenberg Germany +49 (0) 6452 9296 000 With a copy to: Leo Borchardt Davis Polk

UNAUDITED PRO FORMA CONDENSED COMBINED FINANCIAL INFORMATION

Exhibit 99.4 Disclaimer Ernst & Young LLP (EY) prepared the attached Report only for Carrier Global Corporation (the "Client") pursuant to an agreement solely between EY and Client. EY did not perform its services on behalf of or to serve the needs of any other person or entity. Accordingly, EY expressly disclaims any duties or obligations to any other person or entity based on its use of the atta

Regulation FD Disclosure, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant, Completion of Acquisition or Disposition of Assets

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 2, 2024 CARRIER GLOBAL CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-39220 83-4051582 (State or other jurisdiction of incorporation) (Commiss

Investor Rights Agreement, dated as of January 2, 2024, by and among Carrier Global Corporation and Viessmann Group GmbH & Co. KG (incorporated by reference to Exhibit 99.4 to the Original Schedule 13D).

EXHIBIT 10.2 INVESTOR RIGHTS AGREEMENT Dated as of January 2, 2024 TABLE OF CONTENTS Page ARTICLE I GOVERNANCE MATTERS 1 1.1 Composition of the Parent Board at the Closing 1.2 Composition of the Parent Board Following the Closing 1.3 Eligibility Criteria 1.4 Committee Representation 1.5 Confidentiality 1.6 Voting Agreements 1.7 Parent Board Obligations 1.8 Corporate Opportunities 1.9 Organizationa

Carrier Completes Acquisition of Viessmann Climate Solutions Marks significant milestone in Carrier’s transformation as the global leader in intelligent climate and energy solutions

Exhibit 99.1 For Immediate Release Carrier Completes Acquisition of Viessmann Climate Solutions Marks significant milestone in Carrier’s transformation as the global leader in intelligent climate and energy solutions PALM BEACH GARDENS, Fla., Jan. 2, 2024 – Carrier Global Corporation (NYSE: CARR) announced today that it has completed its acquisition of Viessmann Climate Solutions from the Viessman

Bridge Loan Agreement dated as of January 2, 2024, by and among Carrier Global Corporation, JPMorgan Chase Bank, N.A., BofA Securities, Inc. and Bank of America, N.A. (incorporated by reference to Exhibit 10.3 to Carrier Global Corporation’s Current Report on Form 8-K filed with the SEC on January 2, 2024, File No. 001-39220)

Exhibit 10.3 EXECUTION VERSION 60-DAY TERM LOAN CREDIT AGREEMENT dated as of January 2, 2024, among CARRIER GLOBAL CORPORATION, the SUBSIDIARY BORROWERS party hereto, the LENDERS party hereto and JPMORGAN CHASE BANK, N.A., as Administrative Agent JPMORGAN CHASE BANK, N.A., and BOFA SECURITIES, INC., as Joint Lead Arrangers and Joint Bookrunners BANK OF AMERICA, N.A., as Syndication Agent TABLE OF

License Agreement, dated as of January 2, 2024, by and among Carrier Global Corporation, Viessmann Group GmbH & Co. KG and Carrier Innovative Technologies GmbH (incorporated by reference to Exhibit 99.5 to the Original Schedule 13D).

EXHIBIT 10.1 CERTAIN INFORMATION CONTAINED IN THIS AGREEMENT HAS BEEN OMITTED BY MEANS OF REDACTING A PORTION OF THE TEXT AND REPLACING IT WITH [***] BECAUSE IT IS BOTH: (I) NOT MATERIAL AND (II) THE TYPE THAT THE REGISTRANT TREATS AS PRIVATE OR CONFIDENTIAL. LICENSE AGREEMENT TABLE OF CONTENTS Page 1. Interpretation and Definitions 3 2. Grant and Scope of License 7 3. Sublicenses 8 4. Website Arc

2.1 *

Exhibit 2.1 EXECUTION VERSION STOCK PURCHASE AGREEMENT by and among CARRIER GLOBAL CORPORATION and HONEYWELL INTERNATIONAL INC. Dated as of December 7, 2023 TABLE OF CONTENTS Page ARTICLE I DEFINITIONS; INTERPRETATION Section 1.1 Defined Terms 1 Section 1.2 Other Definitions 21 ARTICLE II THE SALE Section 2.1 Sale and Purchase of Shares 23 Section 2.2 Closing Purchase Price 23 Section 2.3 Closing

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 7, 2023

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 7, 2023 CARRIER GLOBAL CORPORATION ( Exact name of registrant as specified in its charter) Delaware 001-39220 83-4051582 (State or other jurisdiction of incorporation) (Commi

CARR / Carrier Global Corp / Capital International Investors - SEC SCHEDULE 13G Passive Investment

SC 13G/A 1 SEC13GFiling.htm SEC SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2 )* Carrier Global Corp. (Name of Issuer) Common Stock (Title of Class of Securities) 14448C104 (CUSIP Number) November 30, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box t

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 8, 2023 CARRIER GLOBAL C

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 8, 2023 CARRIER GLOBAL CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-39220 83-4051582 (State or other jurisdiction of incorporation) (Commis

Carrier Announces Agreement to Sell Global Access Solutions Business to Honeywell for $4.95 Billion

Exhibit 99.1 For Immediate Release Carrier Announces Agreement to Sell Global Access Solutions Business to Honeywell for $4.95 Billion PALM BEACH GARDENS, Fla, December 8, 2023 – Carrier Global Corporation (NYSE: CARR), global leader in intelligent climate and energy solutions, entered into a definitive agreement today to sell its security business, Global Access Solutions, which includes the indu

Indenture, dated November 29, 2023, between Carrier Global Corporation and Deutsche Bank Trust Company Americas (incorporated by reference to Exhibit 4.1 of Carrier Global Corporation’s Current Report on Form 8-K filed with the SEC on November 30, 2023, File No. 001-39220)

EXHIBIT 4.1 CARRIER GLOBAL CORPORATION TO DEUTSCHE BANK TRUST COMPANY AMERICAS, Trustee Indenture Dated as of November 29, 2023 CARRIER GLOBAL CORPORATION Reconciliation and tie between Trust Indenture Act of 1939, as amended, and Indenture, dated as of November 29, 2023 Trust Indenture Act Section Indenture Section §310 (a)(1) 609 (a)(2) 609 (a)(3) Not Applicable (a)(4) Not Applicable (a)(5) 608

Carrier Global Corporation Announces Closing of €2.35 Billion and $3.0 Billion Notes Offerings

EXHIBIT 99.1 For Immediate Release Carrier Global Corporation Announces Closing of €2.35 Billion and $3.0 Billion Notes Offerings PALM BEACH GARDENS, Fla., Nov. 30, 2023 — Carrier Global Corporation (NYSE: CARR) (“Carrier” or the “Company”), global leader in intelligent climate and energy solutions, today announced that it has closed its previously announced private offerings of an aggregate princ

Supplemental Indenture No. 2, dated November 30, 2023, between Carrier Global Corporation and Deutsche Bank Trust Company Americas (incorporated by reference to Exhibit 4.3 of Carrier Global Corporation’s Current Report on Form 8-K filed with the SEC on November 30, 2023, File No. 001-39220)

EXHIBIT 4.3 SUPPLEMENTAL INDENTURE NO. 2 SUPPLEMENTAL INDENTURE NO. 2, dated as of November 30, 2023 (the “Supplemental Indenture”), between CARRIER GLOBAL CORPORATION, a corporation duly organized and existing under the laws of the State of Delaware (the “Company”), and DEUTSCHE BANK TRUST COMPANY AMERICAS, a banking corporation duly organized and existing under the laws of the State of New York,

Registration Rights Agreement, dated November 29, 2023, by and among Carrier Global Corporation, J.P. Morgan Securities plc, Merrill Lynch International, Citigroup Global Markets Limited, HSBC Bank plc, Barclays Bank PLC, Goldman Sachs & Co. LLC, Morgan Stanley & Co. International plc, BNP Paribas, Deutsche Bank AG, London Branch, Intesa Sanpaolo S.p.A., Mizuho International plc, MUFG Securities EMEA plc, SMBC Nikko Capital Markets Limited, UniCredit Bank AG, Wells Fargo Securities International Limited, Bank of Montreal, London Branch, Commerzbank Aktiengesellschaft, ICBC Standard Bank Plc, Loop Capital Markets LLC, Société Générale, and Siebert Williams Shank & Co., LLC. (incorporated by reference to Exhibit 4.4 of Carrier Global Corporation’s Current Report on Form 8-K filed with the SEC on November 30, 2023, File No. 001-39220)

EXHIBIT 4.4 REGISTRATION RIGHTS AGREEMENT This REGISTRATION RIGHTS AGREEMENT dated November 29, 2023 (this “Agreement”) is entered into by and among Carrier Global Corporation, a Delaware corporation (the “Company”) and J.P. Morgan Securities plc, Merrill Lynch International, Citigroup Global Markets Limited, HSBC Bank plc, Barclays Bank PLC, Goldman Sachs & Co. LLC, Morgan Stanley & Co. Internati

Registration Rights Agreement, dated November 30, 2023, by and among Carrier Global Corporation, J.P. Morgan Securities LLC, BofA Securities, Inc., Citigroup Global Markets Inc. and HSBC Securities (USA) Inc. (incorporated by reference to Exhibit 4.5 of Carrier Global Corporation’s Current Report on Form 8-K filed with the SEC on November 30, 2023, File No. 001-39220)

EXHIBIT 4.5 REGISTRATION RIGHTS AGREEMENT This REGISTRATION RIGHTS AGREEMENT dated November 30, 2023 (this “Agreement”) is entered into by and among Carrier Global Corporation, a Delaware corporation (the “Company”) and J.P. Morgan Securities LLC, BofA Securities, Inc., Citigroup Global Markets Inc., and HSBC Securities (USA) Inc., as representatives (the “Representatives”) of the initial purchase

Supplemental Indenture No. 1, dated November 29, 2023, between Carrier Global Corporation and Deutsche Bank Trust Company Americas (incorporated by reference to Exhibit 4.2 of Carrier Global Corporation’s Current Report on Form 8-K filed with the SEC on November 30, 2023, File No. 001-39220)

EXHIBIT 4.2 SUPPLEMENTAL INDENTURE NO. 1 SUPPLEMENTAL INDENTURE NO. 1, dated as of November 29, 2023 (the “Supplemental Indenture”), between CARRIER GLOBAL CORPORATION, a corporation duly organized and existing under the laws of the State of Delaware (the “Company”), and DEUTSCHE BANK TRUST COMPANY AMERICAS, a banking corporation duly organized and existing under the laws of the State of New York,

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 29, 2023 CARRIER GLOBAL CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-39220 83-4051582 (State or other jurisdiction of incorporation) (Commi

Carrier Global Corporation Announces Pricing of $3.0 Billion and €2.35 Billion Notes

EXHIBIT 99.1 Carrier Global Corporation Announces Pricing of $3.0 Billion and €2.35 Billion Notes November 15, 2023 PALM BEACH GARDENS, Fla., November 15, 2023 - Carrier Global Corporation (NYSE: CARR) (“Carrier” or the “Company”), global leader in intelligent climate and energy solutions, today announced that it has priced the private offerings of an aggregate principal amount of $3,000,000,000 o

Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 15, 2023 CARRIER GLOBAL CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-39220 83-4051582 (State or other jurisdiction of incorporation) (Commi

Report of Independent Auditors

Exhibit 99.1 Report of Independent Auditors To the management of Viessmann Group GmbH & Co. KG, Allendorf/Germany Qualified Opinion We have audited the accompanying combined financial statements of the Climate Solutions Business of Viessmann Climate Solutions SE, Allendorf/Germany, (the “Company”), which comprise the combined statement of financial position as of December 31, 2022, and the related

Viessmann Climate Solutions

Exhibit 99.2 Viessmann Climate Solutions Condensed Combined Interim Financial Statements (unaudited) – Interim Financial Statements Condensed Combined Statement of Financial Position – Assets As of September 30, 2023 mEUR 30 Sept. 2023 31. Dec. 2022 A. Fixed assets 529.2 440.9 I. Intangible assets 12.1 13.7 1. Concessions and licenses to such rights 8.6 11.9 2. Goodwill 1.1 1.3 3. Payments on acco

UNAUDITED PRO FORMA CONDENSED COMBINED FINANCIAL INFORMATION

Exhibit 99.3 UNAUDITED PRO FORMA CONDENSED COMBINED FINANCIAL INFORMATION The following unaudited pro forma condensed combined financial information of Carrier Global Corporation (the “Company”) and the climate solutions business (the “VCS Business”) of Viessmann Group GmbH & Co. KG (“Viessmann”) as of and for the twelve months ended December 31, 2022 is derived from Carrier’s historical audited c

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 13, 2023 CARRIER GLOBAL

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 13, 2023 CARRIER GLOBAL CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-39220 83-4051582 (State or other jurisdiction of incorporation) (Commi

Amendment Number One to the Carrier Global Corporation Amended and Restated Savings Restoration Plan*+

Exhibit 10.3 AMENDMENT NUMBER ONE TO THE CARRIER GLOBAL CORPORATION AMENDED AND RESTATED SAVINGS RESTORATION PLAN WHEREAS, Carrier Global Corporation (the “Corporation”) established the Amended and Restated Carrier Global Corporation Savings Restoration Plan, effective as of March 11, 2020 (the "Plan"); WHEREAS, the Corporation reserves the right to amend the Plan through the action of its Employe

Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 26, 2023 CARRIER GLOBAL CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-39220 83-4051582 (State or other jurisdiction of incorporation) (Commis

Letter Re: Unaudited Interim Financial Information*

Exhibit 15 October 26, 2023 Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Commissioners: We are aware that our report dated October 26, 2023 on our review of interim financial information of Carrier Global Corporation, which appears in this Quarterly Report on Form 10-Q, is incorporated by reference in the Registration Statements on Form S-3 (No. 333-237157) and Form S

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 10-Q ____________________________________ ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 3

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number 001-39220 CARRIER GLOBAL CORPORATION (Exact

Amendment Number One to the Carrier Global Corporation Pension Preservation Plan*+

Exhibit 10.2 AMENDMENT NUMBER ONE TO THE CARRIER GLOBAL CORPORATION PENSION PRESERVATION PLAN WHEREAS, Carrier Global Corporation (the “Corporation”) established the Carrier Global Corporation Pension Preservation Plan, effective as of April 3, 2020 (the "Plan"); WHEREAS, the Corporation reserves the right to amend the Plan through the action of its Employee Benefit Committee (the "EBC"); WHEREAS,

Amendment Number One to the Carrier Global Corporation Company Automatic Contribution Excess Plan*+

Exhibit 10.1 AMENDMENT NUMBER ONE TO THE CARRIER GLOBAL CORPORATION COMPANY AUTOMATIC CONTRIBUTION EXCESS PLAN WHEREAS, Carrier Global Corporation (the “Corporation”) established the Carrier Global Corporation Company Automatic Contribution Excess Plan, effective as of January 1, 2020 (the "Plan"); WHEREAS, the Corporation reserves the right to amend the Plan through the action of its Employee Ben

Carrier Reports Third Quarter 2023 Results

Exhibit 99 Carrier Reports Third Quarter 2023 Results •Net sales up 5% versus third quarter 2022; organic sales up 3% •GAAP EPS of $0.

CARR / Carrier Global Corp / Capital Research Global Investors - SEC SCHEDULE 13G Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3 )* Carrier Global Corp. (Name of Issuer) Common Stock (Title of Class of Securities) 14448C104 (CUSIP Number) July 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sched

July 28, 2023

Exhibit 15.1 July 28, 2023 Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Commissioners: We are aware that our reports dated April 26, 2023 and July 27, 2023 on our reviews of interim financial information of Carrier Global Corporation, which are included in the Company's Quarterly Reports on Form 10-Q for the quarters ended March 31, 2023 and June 30, 2023, are incorpo

As filed with the Securities and Exchange Commission on July 28, 2023.

TABLE OF CONTENTS As filed with the Securities and Exchange Commission on July 28, 2023.

Calculation of Filing Fee Tables Form S-3 (Form Type) Carrier Global Corporation (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered and Carry Forward Securities

Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) Carrier Global Corporation (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Newly Registered Securities Fees to Be Paid Equity Common Stock, $0.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 27, 2023 CARRIER GLOBAL CORP

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 27, 2023 CARRIER GLOBAL CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-39220 83-4051582 (State or other jurisdiction of incorporation) (Commissio

Carrier Reports Second Quarter 2023 Results

Exhibit 99 Carrier Reports Second Quarter 2023 Results •Net sales up 15% versus second quarter 2022; organic sales up 6% •GAAP EPS of $0.

Letter Re: Unaudited Interim Financial Information*

Exhibit 15 July 27, 2023 Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Commissioners: We are aware that our report dated July 27, 2023 on our review of interim financial information of Carrier Global Corporation, which appears in this Quarterly Report on Form 10-Q, is incorporated by reference in the Registration Statements on Form S-3 (No. 333-237157) and Form S-8 (No

retention and performance

formofretentionbonusawar Form of Retention Bonus Award [Date] To: [Recipient] Re: Retention Bonus Dear [Recipient], As you know, as part of the portfolio transformation program announced on April 25, 2023, Carrier (the “Company”) plans to exit the Fire & Security segment (the “Business”).

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 10-Q ____________________________________ ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 20

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number 001-39220 CARRIER GLOBAL CORPORATION (Exact name

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 9, 2023 CARRIER GLOBAL CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-39220 83-4051582 (State or other jurisdiction of incorporation) (Commission

Exhibit 1.01 – Carrier’s 2022 Conflict Minerals Report

EX-1.01 2 exhibit1012023.htm EX-1.01 Exhibit 1.01 CARRIER GLOBAL CORPORATION Conflict Mineral Report For the Year Ended December 31, 2022 1. Introduction Carrier Global Corporation has prepared this Conflict Minerals Report (“Report”) for the calendar year ended December 31, 2022, as required by Rule 13p-1 (“Rule”) under the Securities Exchange Act of 1934, as amended, and adopted by the Securitie

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD SPECIALIZED DISCLOSURE REPORT CARRIER GLOBAL CORPORATION (Exact name of registrant as specified in its charter)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD SPECIALIZED DISCLOSURE REPORT CARRIER GLOBAL CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-39220 83-4051582 (State or other jurisdiction of incorporation or organization) (Commission File Number) (IRS Employer Identification No.) 13995 Pasteur Boulevard Palm Beach Gardens Florida 33418

364-Day Revolving Credit Agreement, dated as of May 19, 2023, among Carrier Global Corporation, Carrier Intercompany Lending Designated Activity Company the Subsidiary Borrowers party hereto, the Lenders party hereto and JPMorgan Chase Bank, N.A., as administrative agent

EXHIBIT 10.2 EXECUTION VERSION 364-DAY REVOLVING CREDIT AGREEMENT dated as of May 19, 2023, among CARRIER GLOBAL CORPORATION, the SUBSIDIARY BORROWERS party hereto, the LENDERS party hereto and JPMORGAN CHASE BANK, N.A., as Administrative Agent JPMORGAN CHASE BANK, N.A., BOFA SECURITIES, INC., CITIBANK, N.A., and HSBC SECURITIES (USA) INC., as Joint Lead Arrangers and Joint Bookrunners BANK OF AME

Term Loan Credit Agreement, dated as of May 19, 2023, among Carrier Global Corporation, the Subsidiary Borrowers party hereto, the Lenders party hereto and JPMorgan Chase Bank, N.A., as administrative agent

EXHIBIT 10.3 EXECUTION VERSION TERM LOAN CREDIT AGREEMENT dated as of May 19, 2023, among CARRIER GLOBAL CORPORATION, the SUBSIDIARY BORROWERS party hereto, the LENDERS party hereto and JPMORGAN CHASE BANK, N.A., as Administrative Agent JPMORGAN CHASE BANK, N.A., BOFA SECURITIES, INC., CITIBANK, N.A., GOLDMAN SACHS BANK USA, and HSBC CONTINENTAL EUROPE, as Joint Lead Arrangers and Joint Bookrunner

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 19, 2023 CARRIER GLOBAL CORPO

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 19, 2023 CARRIER GLOBAL CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-39220 83-4051582 (State or other jurisdiction of incorporation) (Commission

Revolving Credit Agreement, dated as of May 19, 2023, among Carrier Global Corporation, Carrier Intercompany Lending Designated Activity Company, the Subsidiary Borrowers party hereto, the Lenders party hereto and JPMorgan Chase Bank, N.A., as administrative agent

EXHIBIT 10.1 EXECUTION VERSION REVOLVING CREDIT AGREEMENT dated as of May 19, 2023, among CARRIER GLOBAL CORPORATION, the SUBSIDIARY BORROWERS party hereto, the LENDERS party hereto and JPMORGAN CHASE BANK, N.A., as Administrative Agent JPMORGAN CHASE BANK, N.A., BOFA SECURITIES, INC., CITIBANK, N.A., and HSBC SECURITIES (USA) INC., as Joint Lead Arrangers and Joint Bookrunners BANK OF AMERICA, N.

Schedule of Terms for Performance Share Unit Awards (annual) granted under the Carrier Global Corporation 2020 Long-Term Incentive Plan (rev. February 1, 2023)*

Carrier Global Corporation 2020 Long-Term Incentive Plan Performance Share Unit Award Schedule of Terms (Rev.

Schedule of Terms for Stock Appreciation Right Awards (annual) granted under the Carrier Global Corporation 2020 Long-Term Incentive Plan (February 1, 2023)*

Carrier Global Corporation 2020 Long-Term Incentive Plan Stock Appreciation Right Award Schedule of Terms (February 1, 2023) This Schedule of Terms describes the material features of the Participant’s Stock Appreciation Right Award (the “SAR Award” or the “Award”) granted under the Carrier Global Corporation 2020 Long-Term Incentive Plan (the “LTIP”), subject to this Schedule of Terms, the Award Agreement, and the terms and conditions set forth in the LTIP.

Schedule of Terms for Restricted Stock Unit Awards (annual) granted under the Carrier Global Corporation 2020 Long-Term Incentive Plan (February 1, 2023)*

Carrier Global Corporation 2020 Long-Term Incentive Plan Restricted Stock Unit Award Schedule of Terms (February 1, 2023) This Schedule of Terms describes the material features of the Participant’s Restricted Stock Unit Award (the “RSU Award” or the “Award”) granted under the Carrier Global Corporation 2020 Long-Term Incentive Plan (the “LTIP”), subject to this Schedule of Terms, the Award Agreement, and the terms and conditions set forth in the LTIP.

Form of Investor Rights Agreement

EXHIBIT 10.2 INVESTOR RIGHTS AGREEMENT Dated as of [•] TABLE OF CONTENTS Page ARTICLE I GOVERNANCE MATTERS 1 1.1 Composition of the Parent Board at the Closing 1.2 Composition of the Parent Board Following the Closing 1.3 Eligibility Criteria 1.4 Committee Representation 1.5 Confidentiality 1.6 Voting Agreements 1.7 Parent Board Obligations 1.8 Corporate Opportunities 1.9 Organizational Documents

Carrier Global Corporation Executive Annual Bonus Plan

CARRIER GLOBAL CORPORATION EXECUTIVE ANNUAL BONUS PLAN 1. Purpose. The purpose of the Carrier Global Corporation Executive Annual Bonus Plan (the “Plan”) is to reinforce corporate, organizational, and other goals; to promote the achievement of those goals; to ensure a strong linkage of pay to performance; and to attract, retain and motivate eligible employees. This Plan was effective as of the dat

Schedule of Terms for Restricted Stock Unit Awards (off-cycle) granted under the Carrier Global Corporation 2020 Long-Term Incentive Plan (February 1, 2023)*

Carrier Global Corporation 2020 Long-Term Incentive Plan Restricted Stock Unit Award (Off-Cycle) Schedule of Terms (February 1, 2023) This Schedule of Terms describes the material features of the Participant’s Restricted Stock Unit Award (the “RSU Award” or the “Award”) granted under the Carrier Global Corporation 2020 Long-Term Incentive Plan (the “LTIP”), subject to this Schedule of Terms, the Award Agreement, and the terms and conditions set forth in the LTIP.

Form of Award Agreement for 2023 Performance Share Unit and Stock Appreciation Right Awards granted under the Carrier Global Corporation 2020 Long-Term Incentive Plan*

Form of Carrier Award Agreement – 2023 Annual Grant LTIP Award Agreement I hereby accept this award, and agree to be bound by the terms, conditions, and restrictions of such award as set forth in the Carrier Global Corporation 2020 Long-Term Incentive Plan (the “LTIP”) and the Schedule of Terms applicable to this award, including, but not limited to the post-employment restrictions set forth therein (confidentiality, non-competition, non-solicitation, and non-disparagement), and the associated restrictive period.

Form of Transitional Services Agreement

EXHIBIT 10.3 Johann | Transitional Services Agreement Exhibit 17.4.1 to SPA Exhibit 17.4.1 Transitional ServIces Agreement Johann | Transitional Services Agreement Exhibit 17.4.1 to SPA Table of Contents 1. Interpretation and Definitions 4 2. TSA Services 9 3. Consideration 14 4. Exchange of Information / Cooperation 16 5. Service Management 20 6. Term 22 7. IT Services 24 8. Limitation of Liabili

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 25, 2023 CARRIER GLOBAL COR

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 25, 2023 CARRIER GLOBAL CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-39220 83-4051582 (State or other jurisdiction of incorporation) (Commissi

Form of License Agreement

EXHIBIT 10.1 Johann | Form of License Agreement Exhibit 24.1 to the SPA CERTAIN INFORMATION CONTAINED IN THIS AGREEMENT HAS BEEN OMITTED BY MEANS OF REDACTING A PORTION OF THE TEXT AND REPLACING IT WITH [***] BECAUSE IT IS BOTH: (I) NOT MATERIAL AND (II) THE TYPE THAT THE REGISTRANT TREATS AS PRIVATE OR CONFIDENTIAL. Exhibit 24.1 Form of License Agreement Johann | Form of License Agreement Exhibit

Schedule of Terms for Performance Share Unit Awards (off-cycle) granted under the Carrier Global Corporation 2020 Long-Term Incentive Plan (rev. February 1, 2023)*

Carrier Global Corporation 2020 Long-Term Incentive Plan Performance Share Unit Award (Off-Cycle) Schedule of Terms (Rev.

Letter Re: Unaudited Interim Financial Information*

Exhibit 15 April 26, 2023 Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Commissioners: We are aware that our report dated April 26, 2023 on our review of interim financial information of Carrier Global Corporation, which appears in this Quarterly Report on Form 10-Q, is incorporated by reference in the Registration Statements on Form S-3 (No. 333-237157) and Form S-8 (

Share Purchase Agreement, dated as of April 25, 2023, by and among Carrier Global Corporation, Blitz F23-620 GmbH (subsequently renamed Johann Purchaser GmbH) and Viessmann Group GmbH & Co. KG (incorporated by reference to Exhibit 99.2 to the Original Schedule 13D).

EXHIBIT 2.1 SPA Execution Version CERTAIN INFORMATION CONTAINED IN THIS AGREEMENT HAS BEEN OMITTED BY MEANS OF REDACTING A PORTION OF THE TEXT AND REPLACING IT WITH [***] BECAUSE IT IS BOTH: (I) NOT MATERIAL AND (II) THE TYPE THAT THE REGISTRANT TREATS AS PRIVATE OR CONFIDENTIAL. share Purchase Agreement Execution Version regarding the sale and purchase of the climate solutions business of Viessma

Schedule of Terms for Stock Appreciation Right Awards (off-cycle) granted under the Carrier Global Corporation 2020 Long-Term Incentive Plan (February 1, 2023)*

Carrier Global Corporation 2020 Long-Term Incentive Plan Stock Appreciation Right Award (Off-Cycle) Schedule of Terms (February 1, 2023) This Schedule of Terms describes the material features of the Participant’s Stock Appreciation Right Award (the “SAR Award” or the “Award”) granted under the Carrier Global Corporation 2020 Long-Term Incentive Plan (the “LTIP”), subject to this Schedule of Terms, the Award Agreement, and the terms and conditions set forth in the LTIP.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 10-Q ____________________________________ ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number 001-39220 CARRIER GLOBAL CORPORATION (Exact name

Carrier Reports First Quarter 2023 Results

Exhibit 99 Carrier Reports First Quarter 2023 Results •Net sales up 13% versus first quarter 2022; organic sales up 4% •GAAP EPS of $0.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 25, 2023 CARRIER GLOBAL COR

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 25, 2023 CARRIER GLOBAL CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-39220 83-4051582 (State or other jurisdiction of incorporation) (Commissi

Carrier Announces Portfolio Transformation to Create Global Leader in Intelligent Climate and Energy Solutions

EXHIBIT 99.1 For Immediate Release Carrier Announces Portfolio Transformation to Create Global Leader in Intelligent Climate and Energy Solutions · Carrier to acquire Viessmann Climate Solutions for €12 billion in cash and stock issued directly to Viessmann Group with a long-term ownership commitment · Most attractive asset in the most attractive segment: premier company with highly differentiated

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 25, 2023 CARRIER GLOBAL COR

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 25, 2023 CARRIER GLOBAL CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-39220 83-4051582 (State or other jurisdiction of incorporation) (Commissi

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 20, 2023 CARRIER GLOBAL COR

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 20, 2023 CARRIER GLOBAL CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-39220 83-4051582 (State or other jurisdiction of incorporation) (Commissi

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. )

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) ☑ Filed by the Registrant ☐ Filed by a party other than the Registrant CHECK THE APPROPRIATE BOX: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defin

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. )

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) ☑ Filed by the Registrant ☐ Filed by a party other than the Registrant CHECK THE APPROPRIATE BOX: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☑ Defin

CARR / Carrington Mortgage Loan Trust Series 2005-NC1 / Capital International Investors - SEC SCHEDULE 13G Passive Investment

SC 13G/A 1 SEC13GFiling.htm SEC SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1 )* Carrier Global Corp. (Name of Issuer) Common Stock (Title of Class of Securities) 14448C104 (CUSIP Number) December 30, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate box t

CARR / Carrington Mortgage Loan Trust Series 2005-NC1 / Capital Research Global Investors - SEC SCHEDULE 13G Passive Investment

SC 13G/A 1 SEC13GFiling.htm SEC SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2 )* Carrier Global Corp. (Name of Issuer) Common Stock (Title of Class of Securities) 14448C104 (CUSIP Number) December 30, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate box t

CARR / Carrington Mortgage Loan Trust Series 2005-NC1 / Capital World Investors - SEC SCHEDULE 13G Passive Investment

SC 13G/A 1 SEC13GFiling.htm SEC SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2 )* Carrier Global Corp. (Name of Issuer) Common Stock (Title of Class of Securities) 14448C104 (CUSIP Number) December 30, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate box t

CARR / Carrington Mortgage Loan Trust Series 2005-NC1 / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 3)* Name of issuer: Carrier Global Corp. Title of Class of Securities: Common Stock CUSIP Number: 14448C104 Date of Event Which Requires Filing of this Statement: December 30, 2022 Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

Carrier Global Corporation LTIP Performance Share Unit Deferral Plan*

CARRIER GLOBAL CORPORATION LTIP PERFORMANCE SHARE UNIT DEFERRAL PLAN (Effective October 13, 2022) ARTICLE I – PREAMBLE Section 1.

Carrier Reports 2022 Results and Announces 2023 Outlook

Exhibit 99 Carrier Reports 2022 Results and Announces 2023 Outlook Fourth Quarter 2022 Highlights •Sales of $5.

Carrier Summary of Compensation and Benefits for Directors (2023-2024 Board Cycle)*

COMPENSATION AND BENEFITS FOR NON-EMPLOYEE DIRECTORS (As of April 14, 2022) The following policy regarding compensation and benefits for non-employee members of the Board of Directors as of the date set forth above will remain in place until amended or terminated by the Board of Directors.

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 7, 2023 CARRIER GLOBAL CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-39220 83-4051582 (State or other jurisdiction of incorporation) (Commis

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K _________________________________________ ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31,

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number 001-39220 CARRIER GLOBAL CORPORATION (Exact name of

Subsidiaries of the Registrant*

Exhibit 21 SUBSIDIARIES OF CARRIER GLOBAL CORPORATION The following entities are expected to be subsidiaries of Carrier Global Corporation as of December 31, 2022: Subsidiary State or Country of Incorporation or Organization AHI Carrier FZC United Arab Emirates Ainsworth Holdings SAS France AirSense Technology Limited UK Alarko Carrier Sanayi ve Ticaret A.

Carrier Reports Third Quarter 2022 Results Board approves $2 billion share repurchase authorization

Exhibit 99 Carrier Reports Third Quarter 2022 Results Board approves $2 billion share repurchase authorization ?Net sales up 2% versus 2021; organic sales up 8% ?GAAP EPS of $1.

Regulation FD Disclosure, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 27, 2022 CARRIER GLOBAL CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-39220 83-4051582 (State or other jurisdiction of incorporation) (Commis

Letter Re: Unaudited Interim Financial Information*

Exhibit 15 October 27, 2022 Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Commissioners: We are aware that our report dated October 27, 2022 on our review of interim financial information of Carrier Global Corporation, which appears in this Quarterly Report on Form 10-Q, is incorporated by reference in the Registration Statements on Form S-3 (No. 333-237157) and Form S

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 10-Q ____________________________________ ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 3

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number 001-39220 CARRIER GLOBAL CORPORATION (Exact

Carrier Global Corporation Appoints Susan N. Story to its Board of Directors

EXHIBIT 99.1 For Immediate Release Contact: Ashley Barrie 561-365-1260 [email protected] Carrier Global Corporation Appoints Susan N. Story to its Board of Directors PALM BEACH GARDENS, Fla., Sept. 29, 2022 ? Carrier Global Corporation (NYSE: CARR), the leading global provider of healthy, safe, sustainable and intelligent building and cold chain solutions, today announced that Susan N. Sto

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 28, 2022 CARRIER GLOBAL CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-39220 83-4051582 (State or other jurisdiction of incorporation) (Comm

Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 28, 2022 CARRIER GLOBAL CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-39220 83-4051582 (State or other jurisdiction of incorporation) (Commissio

Amendment Number One to the Carrier Global Corporation 2020 Long-Term Incentive Plan (incorporated by reference to Exhibit 10.2 to Carrier Global Corporation’s Quarterly Report on Form 10-Q filed with the SEC on July 28, 2022, File No. 001-39220)

Exhibit 10.2 AMENDMENT NUMBER ONE TO THE CARRIER GLOBAL CORPORATION 2020 LONG-TERM INCENTIVE PLAN WHEREAS, Carrier Global Corporation (the ?Corporation?) established the Carrier Global Corporation 2020 Long-Term Incentive Plan (the "Plan") effective as of April 3, 2020, for the purpose of implementing a compensation program focused on long-term, sustainable performance; and WHEREAS, the Corporatio

Carrier Global Corporation Change in Control Severance Plan (Amended and Restated effective as of April 13, 2022) (incorporated by reference to Exhibit 10.1 to Carrier Global Corporation’s Quarterly Report on Form 10-Q filed with the SEC on July 28, 2022, File No. 001-39220)

Exhibit 10.1 CARRIER GLOBAL CORPORATION CHANGE IN CONTROL SEVERANCE PLAN (Amended and Restated effective as of April 13, 2022) ARTICLE 1 PURPOSE OF THE PLAN The Board of Directors (the ?Board?) of Carrier Global Corporation (the ?Company?), recognizes that the possibility of a Change in Control (as defined in Section 2.6) of the Company, and the uncertainty it could create, may result in the loss

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 10-Q ____________________________________ ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 20

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number 001-39220 CARRIER GLOBAL CORPORATION (Exact name

Carrier Reports Second Quarter 2022 Results Strong first half results; Raises full-year earnings outlook Toshiba Carrier Corporation acquisition expected to close in early August 2022

Exhibit 99 Carrier Reports Second Quarter 2022 Results Strong first half results; Raises full-year earnings outlook Toshiba Carrier Corporation acquisition expected to close in early August 2022 ?Net sales down 4% versus 2021 driven by the Chubb divestiture; organic sales up 7% ?Operating margin up 130 basis points; price/cost positive in the quarter ?GAAP EPS of $0.

Letter Re: Unaudited Interim Financial Information*

Exhibit 15 July 28, 2022 Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Commissioners: We are aware that our report dated July 28, 2022 on our review of interim financial information of Carrier Global Corporation, which appears in this Quarterly Report on Form 10-Q, is incorporated by reference in the Registration Statements on Form S-3 (No. 333-237157) and Form S-8 (No

– Carrier’s 2020 Conflict Minerals Report

EX-1.01 2 exhibit1012022.htm EX-1.01 Exhibit 1.01 CARRIER GLOBAL CORPORATION Conflict Mineral Report For the Year Ended December 31, 2021 1. Introduction Carrier Global Corporation has prepared this Conflict Minerals Report (“Report”) for the calendar year ended December 31, 2021, as required by Rule 13p-1 (“Rule”) under the Securities Exchange Act of 1934, as amended, and adopted by the Securitie

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD SPECIALIZED DISCLOSURE REPORT CARRIER GLOBAL CORPORATION (Exact name of registrant as specified in its charter)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD SPECIALIZED DISCLOSURE REPORT CARRIER GLOBAL CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-39220 83-4051582 (State or other jurisdiction of incorporation or organization) (Commission File Number) (IRS Employer Identification No.) 13995 Pasteur Boulevard Palm Beach Gardens Florida 33418

CARR / Carrington Mortgage Loan Trust Series 2005-NC1 / Capital World Investors - SEC SCHEDULE 13G Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1 )* Carrier Global Corp. (Name of Issuer) Common Stock (Title of Class of Securities) 14448C104 (CUSIP Number) April 29, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sche

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 10-Q ____________________________________ ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number 001-39220 CARRIER GLOBAL CORPORATION (Exact name

Schedule of Terms for Performance Share Unit Awards (annual) granted under the Carrier Global Corporation 2020 Long-Term Incentive Plan (rev. February 1, 2022) (incorporated by reference to Exhibit 10.1 to Carrier Global Corporation’s Quarterly Report on Form 10-Q filed with the SEC on April 28, 2022, File No. 001-39220)

Carrier Global Corporation 2020 Long-Term Incentive Plan Performance Share Unit Award Schedule of Terms (Rev.

Letter Agreement, dated July 12, 2021, by and between Carrier Corporation and Timothy N. White (incorporated by reference to Exhibit 10.7 to Carrier Global Corporation’s Quarterly Report on Form 10-Q filed with the SEC on April 28, 2022, File No. 001-39220)

Carrier 13995 Pasteur Boulevard Palm Beach Gardens, FL 33410 Timothy N. White 11152 Bridgeland Rd Winnebago, IL 61088 July 11. 2021 Dear Tim, I am pleased to confirm our offer of employment for you to join Carrier in the role of President, Refrigeration. Your executive level will be E5. You will report to David Gitlin, Chairman & CEO, Carrier and you will be based in Palm Beach Gardens, Florida. Y

Schedule of Terms for Restricted Stock Unit Awards (off-cycle) granted under the Carrier Global Corporation 2020 Long-Term Incentive Plan (February 1, 2022) (incorporated by reference to Exhibit 10.4 to Carrier Global Corporation’s Quarterly Report on Form 10-Q filed with the SEC on April 28, 2022, File No. 001-39220)

Carrier Global Corporation 2020 Long-Term Incentive Plan Restricted Stock Unit Award (Off-Cycle) Schedule of Terms (February 1, 2022) This Schedule of Terms describes the material features of the Participant?s Restricted Stock Unit Award (the ?RSU Award? or the ?Award?) granted under the Carrier Global Corporation 2020 Long-Term Incentive Plan (the ?LTIP?), subject to this Schedule of Terms, the Award Agreement, and the terms and conditions set forth in the LTIP.

Schedule of Terms for Stock Appreciation Right Awards (off-cycle) granted under the Carrier Global Corporation 2020 Long-Term Incentive Plan (February 1, 2022) (incorporated by reference to Exhibit 10.5 to Carrier Global Corporation’s Quarterly Report on Form 10-Q filed with the SEC on April 28, 2022, File No. 001-39220)

Carrier Global Corporation 2020 Long-Term Incentive Plan Stock Appreciation Right Award (Off-Cycle) Schedule of Terms (February 1, 2022) This Schedule of Terms describes the material features of the Participant?s Stock Appreciation Right Award (the ?SAR Award? or the ?Award?) granted under the Carrier Global Corporation 2020 Long-Term Incentive Plan (the ?LTIP?), subject to this Schedule of Terms, the Award Agreement, and the terms and conditions set forth in the LTIP.

Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 28, 2022 CARRIER GLOBAL CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-39220 83-4051582 (State or other jurisdiction of incorporation) (Commissi

Schedule of Terms for Stock Appreciation Right Awards (annual) granted under the Carrier Global Corporation 2020 Long-Term Incentive Plan (February 1, 2022) (incorporated by reference to Exhibit 10.3 to Carrier Global Corporation’s Quarterly Report on Form 10-Q filed with the SEC on April 28, 2022, File No. 001-39220)

Carrier Global Corporation 2020 Long-Term Incentive Plan Stock Appreciation Right Award Schedule of Terms (February 1, 2022) This Schedule of Terms describes the material features of the Participant?s Stock Appreciation Right Award (the ?SAR Award? or the ?Award?) granted under the Carrier Global Corporation 2020 Long-Term Incentive Plan (the ?LTIP?), subject to this Schedule of Terms, the Award Agreement, and the terms and conditions set forth in the LTIP.

Schedule of Terms for Restricted Stock Unit Awards (annual) granted under the Carrier Global Corporation 2020 Long-Term Incentive Plan (February 1, 2022) (incorporated by reference to Exhibit 10.2 to Carrier Global Corporation’s Quarterly Report on Form 10-Q filed with the SEC on April 28, 2022, File No. 001-39220)

Carrier Global Corporation 2020 Long-Term Incentive Plan Restricted Stock Unit Award Schedule of Terms (February 1, 2022) This Schedule of Terms describes the material features of the Participant?s Restricted Stock Unit Award (the ?RSU Award? or the ?Award?) granted under the Carrier Global Corporation 2020 Long-Term Incentive Plan (the ?LTIP?), subject to this Schedule of Terms, the Award Agreement, and the terms and conditions set forth in the LTIP.

Letter Re: Unaudited Interim Financial Information*

Exhibit 15 April 28, 2022 Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Commissioners: We are aware that our report dated April 28, 2022 on our review of interim financial information of Carrier Global Corporation, which appears in this Quarterly Report on Form 10-Q, is incorporated by reference in the Registration Statements on Form S-3 (No. 333-237157) and Form S-8 (

Form of Award Agreement for 2022 Performance Share Unit Awards granted under the Carrier Global Corporation 2020 Long-Term Incentive Plan (incorporated by reference to Exhibit 10.6 to Carrier Global Corporation’s Quarterly Report on Form 10-Q filed with the SEC on April 28, 2022, File No. 001-39220)

Form of Carrier Award Agreement ? 2022 Annual Grant LTIP Award Agreement I hereby accept this award, and agree to be bound by the terms, conditions, and restrictions of such award as set forth in the Carrier Global Corporation 2020 Long-Term Incentive Plan (the ?LTIP?) and the Schedule of Terms applicable to this award, including, but not limited to the post-employment restrictions set forth therein (confidentiality, non-competition, non-solicitation, and non-disparagement), and the associated restrictive period.

Carrier Reports First Quarter 2022 Results

Exhibit 99 Carrier Reports First Quarter 2022 Results ?Net sales down 1% versus 2021 driven by the Chubb divestiture; organic sales up 10% ?GAAP EPS of $1.

Financial Statements and Exhibits, Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 14, 2022 CARRIER GLOBAL CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-39220 83-4051582 (State or other jurisdiction of incorporation) (Commissi

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. )

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) ? Filed by the Registrant ? Filed by a Party other than the Registrant CHECK THE APPROPRIATE BOX: ? Preliminary Proxy Statement ? Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Defin

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. )

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) ? Filed by the Registrant ? Filed by a Party other than the Registrant CHECK THE APPROPRIATE BOX: ? Preliminary Proxy Statement ? Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Defin

CARR / Carrington Mortgage Loan Trust Series 2005-NC1 / Capital Research Global Investors - SEC SCHEDULE 13G Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1 )* Carrier Global Corp. (Name of Issuer) Common Stock (Title of Class of Securities) 14448C104 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this S

CARR / Carrington Mortgage Loan Trust Series 2005-NC1 / Capital International Investors - SEC SCHEDULE 13G Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Carrier Global Corp. (Name of Issuer) Common Stock (Title of Class of Securities) 14448C104 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sch

CARR / Carrington Mortgage Loan Trust Series 2005-NC1 / Capital World Investors - SEC SCHEDULE 13G Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Carrier Global Corp. (Name of Issuer) Common Stock (Title of Class of Securities) 14448C104 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sch

CARR / Carrington Mortgage Loan Trust Series 2005-NC1 / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 2)* Name of issuer: Carrier Global Corp. Title of Class of Securities: Common Stock CUSIP Number: 14448C104 Date of Event Which Requires Filing of this Statement: December 31, 2021 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: