UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM
CURRENT REPORT
Pursuant to Section 13 OR 15(d) of
The Securities Exchange Act of 1934
Date of Report (Date of earliest event reported):
(Exact name of registrant as specified in its charter)
| (State or other jurisdiction of incorporation) | (Commission File Number) | (I.R.S. Employer Identification No.) |
(Address of principal executive offices, including zip code)
(
(Registrant’s telephone number, including area code)
N/A
(Former name or former address, if changed since last report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
| Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) | |
| Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) | |
| Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) | |
| Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
Securities registered pursuant to Section 12(b) of the Act:
| Title of each class | Trading Symbol(s) | Name of each exchange on which registered | ||
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging growth company
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
| Item 5.02. | Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers. |
(d) Election of Director.
The Board of Directors of Carrier Global Corporation (the “Company”) appointed Susan N. Story as an independent director, effective January 15, 2023, with a term expiring at the 2023 Annual Meeting of Shareowners. The Board also appointed Ms. Story to the Board’s Audit Committee and Compensation Committee.
The appointment of Ms. Story was not pursuant to any arrangement or understanding between Ms. Story and any third party. As of the date of this report, neither Ms. Story, nor any of her immediate family members, is a party, either directly or indirectly, to any transaction that is required to be reported pursuant to Item 404(a) of Regulation S-K.
Ms. Story will be compensated consistent with the Company’s compensation programs for non-employee directors.
| Item 9.01. | Financial Statements and Exhibits. |
(d) Exhibits.
| 99.1 | |
| 104 | The cover page from this Current Report on Form 8-K, formatted in Inline XBRL |
| 2 |
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
| CARRIER GLOBAL CORPORATION | |||
Date: September 29, 2022 |
By: | /s/ Mark G. Thompson | |
|
Mark G. Thompson |
|||
| Vice President, Secretary & Deputy Legal Officer | |||
| 3 |
EXHIBIT 99.1
| For Immediate Release | Contact: | Ashley Barrie |
| 561-365-1260 | ||
| Ashley.Barrie@Carrier.com |
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. Story, former President and Chief Executive Officer of American Water Works Company, Inc., has been elected to Carrier’s Board of Directors, effective Jan. 15, 2023. She will serve on the Board’s Audit and Compensation Committees.
“Susan is a highly accomplished and successful business leader with significant expertise in finance, operations, cybersecurity, sustainability and strategy,” said David Gitlin, Carrier Chairman & CEO. “Her extensive senior leadership experience and deep knowledge of the energy industry and sustainability matters make her an outstanding addition as we continue to drive our ESG initiatives and sustainability growth strategy. We could not be more pleased to welcome Susan to Carrier’s Board.”
Ms. Story served as the President and Chief Executive Officer and a director of American Water from 2014 until 2020, having previously served as its Senior Vice President and Chief Financial Officer and in senior executive roles at Southern Company and Gulf Power Company. She currently serves as the Lead Independent Director of Raymond James Financial, Inc., serving on the Corporate Governance and ESG Committee and Capital Planning Committee, as well as a Director on the Boards of Dominion Energy, Inc., where she serves on the Nominating and Governance Committee and the Finance and Risk Oversight Committee, and Newmont Corporation, where she serves on the Audit Committee.
About Carrier
As the leading global provider of healthy, safe and sustainable building and cold chain solutions, Carrier Global Corporation is committed to making the world safer, more sustainable and comfortable for generations to come. From the beginning, we’ve led in inventing new technologies and entirely new industries. Today, we continue to lead because we have a world-class, diverse workforce that puts the customer at the center of everything we do. For more information, visit corporate.carrier.com or follow Carrier on social media at @Carrier.
CARR-IR