Form SC 13D/A - General Statement of Acquisition of Beneficial Ownership: [Amend]
15 Noviembre 2024 - 12:21PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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SCHEDULE 13D/A
Under the Securities Exchange Act of 1934
(Amendment No. 3)
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Carrier Global Corporation |
(Name of Issuer) |
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Common Stock, par value $0.01 per share |
(Title of Class of Securities) |
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14448C104 |
(CUSIP Number) |
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Viessmann Generations Group GmbH & Co. KG
Im Birkenried 1
35088 Battenberg (Eder)
Germany
+49 (0) 6452 9296 000
With a copy to:
Leo Borchardt
Davis Polk & Wardwell London LLP
5 Aldermanbury Square
London NW5 3LH
United Kingdom
Telephone: +44 20 7418 1334
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(Name, Address and Telephone Number of Person
Authorized to
Receive Notices and Communications)
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November 14, 2024 |
(Date of Event which Requires Filing of this Statement) |
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If the filing person has previously filed a statement on Schedule
13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§240.13d-1(e),
240.13d-l(f) or 240.13d-l(g), check the following box. ☐
Note: Schedules filed in paper format shall include a signed original
and five copies of the schedule, including all exhibits. See § 240.13d-7(b) for other parties to whom copies are to be sent.
*The remainder of this cover page shall be filled out for a reporting
person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing
information which would alter disclosures provided in a prior cover page.
The information required on the remainder
of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934
(“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions
of the Act (however, see the Notes).
1 |
Name of Reporting Person
Viessmann Generations Group GmbH & Co. KG
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2 |
Check the Appropriate Box if a Member of a Group
(a) o
(b) o
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3 |
SEC Use Only
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4 |
Source of Funds
OO
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5 |
Check if Disclosure of Legal Proceedings Is Required Pursuant to Items
2(d) or 2(e)
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☐ |
6 |
Citizenship or Place of Organization
Germany
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NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
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7 |
Sole Voting Power
0
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8 |
Shared Voting Power
58,608,959 (See item 5)
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9 |
Sole Dispositive Power
0
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10 |
Shared Dispositive Power
58,608,959 (See item 5)
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11 |
Aggregate Amount Beneficially Owned by Each Reporting Person
58,608,959 (See item 5)
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12 |
Check if the Aggregate Amount in Row (11) Excludes Certain Shares
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☐ |
13 |
Percent of Class Represented by Amount in Row (11)
6.53% (See item 5)
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14 |
Type of Reporting Person (See Instructions)
PN
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1 |
Names of Reporting Person
Viessmann Komplementär B.V.
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2 |
Check the Appropriate Box if a Member of a Group
(a) o
(b) o
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3 |
SEC Use Only
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4 |
Source of Funds
OO
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5 |
Check if Disclosure of Legal Proceedings Is Required Pursuant to Items
2(d) or 2(e)
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☐ |
6 |
Citizenship or Place of Organization
The Netherlands
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NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH |
7 |
Sole Voting Power
0
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8 |
Shared Voting Power
58,608,959 (See item 5)
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9 |
Sole Dispositive Power
0
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10 |
Shared Dispositive Power
58,608,959 (See item 5)
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11 |
Aggregate Amount Beneficially Owned by Each Reporting Person
58,608,959 (See item 5)
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12 |
Check if the Aggregate Amount in Row (11) Excludes Certain Shares
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☐ |
13 |
Percent of Class Represented by Amount in Row (11)
6.53% (See item 5)
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14 |
Type of Reporting Person (See Instructions)
CO
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1 |
Names of Reporting Person
Viessmann Zweite Beteiligungs B.V.
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2 |
Check the Appropriate Box if a Member of a Group
(a) o
(b) o
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3 |
SEC Use Only
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4 |
Source of Funds
OO
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5 |
Check if Disclosure of Legal Proceedings Is Required Pursuant to Items
2(d) or 2(e)
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☐ |
6 |
Citizenship or Place of Organization
The Netherlands
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NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH |
7 |
Sole Voting Power
0
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8 |
Shared Voting Power
58,608,959 (See item 5)
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9 |
Sole Dispositive Power
0
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10 |
Shared Dispositive Power
58,608,959 (See item 5)
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11 |
Aggregate Amount Beneficially Owned by Each Reporting Person
58,608,959 (See item 5)
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12 |
Check if the Aggregate Amount in Row (11) Excludes Certain Shares
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☐ |
13 |
Percent of Class Represented by Amount in Row (11)
6.53% (See item 5)
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14 |
Type of Reporting Person (See Instructions)
CO
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1 |
Names of Reporting Person
Maximilian Viessmann
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2 |
Check the Appropriate Box if a Member of a Group
(a) o
(b) o
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3 |
SEC Use Only
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4 |
Source of Funds
OO
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5 |
Check if Disclosure of Legal Proceedings Is Required Pursuant to Items
2(d) or 2(e)
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☐ |
6 |
Citizenship or Place of Organization
Germany
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NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH |
7 |
Sole Voting Power
0
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8 |
Shared Voting Power
58,608,959 (See item 5)
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9 |
Sole Dispositive Power
0
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10 |
Shared Dispositive Power
58,608,959 (See item 5)
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11 |
Aggregate Amount Beneficially Owned by Each Reporting Person
58,608,959 (See item 5)
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12 |
Check if the Aggregate Amount in Row (11) Excludes Certain Shares
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☐ |
13 |
Percent of Class Represented by Amount in Row (11)
6.53% (See item 5)
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14 |
Type of Reporting Person (See Instructions)
IN
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1 |
Names of Reporting Person
Viessmann Traeger HoldCo GmbH
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2 |
Check the Appropriate Box if a Member of a Group
(a) o
(b) o
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3 |
SEC Use Only
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4 |
Source of Funds
OO
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5 |
Check if Disclosure of Legal Proceedings Is Required Pursuant to Items
2(d) or 2(e)
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☐ |
6 |
Citizenship or Place of Organization
Germany
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NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH |
7 |
Sole Voting Power
0
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8 |
Shared Voting Power
46,887,167 (See item 5)
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9 |
Sole Dispositive Power
0
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10 |
Shared Dispositive Power
46,887,167 (See item 5)
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11 |
Aggregate Amount Beneficially Owned by Each Reporting Person
46,887,167 (See item 5)
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12 |
Check if the Aggregate Amount in Row (11) Excludes Certain Shares
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☐ |
13 |
Percent of Class Represented by Amount in Row (11)
5.23% (See item 5)
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14 |
Type of Reporting Person (See Instructions)
OO
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Explanatory Note
This Amendment No. 3 (this “Amendment”) amends and
supplements the Schedule 13D originally filed with the Securities and Exchange Commission (the “SEC”) on January 9,
2024 (the “Original Schedule 13D”), as amended by Amendment No. 1 as filed with the SEC on March 21, 2024 (the “Amendment
No. 1”), as amended by Amendment No. 2 as filed with the SEC on November 13, 2024 (the “Amendment No 2”)
(as so amended, the “Schedule 13D”), and is being filed jointly by (i) Viessmann Generations Group GmbH & Co. KG,
a limited partnership (Kommanditgesellschaft) organized under the laws of Germany (“Viessmann Group KG”), (ii)
its sole general partner, Viessmann Komplementär B.V., a limited liability company (besloten venootschap met beperkte aansprakelijkheid)
organized under the laws of the Netherlands (“Viessmann GP”), (iii) its managing limited partner, Viessmann Zweite
Beteiligungs B.V., a limited liability company (besloten venootschap met beperkte aansprakelijkheid) organized under the laws of
the Netherlands (“Viessmann LP”), (iv) Maximilian Viessmann, as a director and the controlling stockholder of each
of Viessmann GP and Viessmann LP, and (v) Viessmann Traeger HoldCo GmbH, a limited liability company (Gesellschaft mit beschränkter
Haftung) organized under the laws of Germany and a direct wholly owned subsidiary of Viessmann Group KG (“Viessmann HoldCo”).
The purpose of this Amendment is to report that, as a result of an
internal reorganization and pursuant to that certain Contribution Agreement dated November 14, 2024 by and between Viessmann Group KG
and Viessmann HoldCo (the “Contribution Agreement”), Viessmann Group KG transferred an additional 5,860,896 shares
of Common Stock to Viessmann HoldCo in the form of a contribution to the capital of Viessmann HoldCo. The internal reorganization resulted
in no change to the aggregate number of shares of Common Stock beneficially owned by the Reporting Persons.
Except as specifically provided herein, this Amendment does not modify
any of the information previously reported on the Schedule 13D. All disclosure in respect of items contained in the Schedule 13D where
no new information is provided for such item in this Amendment is incorporated herein by reference. Capitalized terms not otherwise defined
in this Amendment shall have the same meanings ascribed thereto in the Schedule 13D.
Item 3. Source and Amount of Funds or Other Consideration.
Item 3 of the Schedule 13D is hereby amended and supplemented by adding
the following paragraph at the end thereof:
On November 14, 2024, Viessmann Group KG and Viessmann Holdco entered
into the Contribution Agreement, pursuant to which Viessmann Group KG transferred an additional 5,860,896 shares of Common Stock to Viessmann
HoldCo in the form of a contribution to the capital of Viessmann HoldCo.
Item 5: Interest in Securities of the Issuer
Item 5(a)-(b) of the Schedule 13D is hereby
amended and supplemented as follows:
(a)-(b) As of November 15, 2024, the Reporting
Persons may be deemed to have beneficially owned an aggregate of 58,608,959 shares of Common Stock, representing approximately 6.53% of
the total outstanding shares of Common Stock (such percentage is calculated based on 897,227,361 shares of Common Stock outstanding as
of October 15, 2024 according to the Issuer’s quarterly report on Form 10-Q for the three and nine months ended September 30, 2024
filed with the SEC on October 25, 2024). As of November 15, 2024, Viessmann Group KG was the record and beneficial owner of 11,721,792
shares of Common Stock and Viessmann HoldCo was the record and beneficial owner of 46,887,167 shares of Common Stock. Each of Viessmann
GP, as the sole general partner of Viessmann Group KG, Viessmann LP, as the managing limited partner of Viessmann Group KG, and Mr. Viessmann,
as the director and controlling stockholder of each of Viessmann GP and Viessmann LP, may be deemed to be the beneficial owner of the
shares of Common Stock held by each of Viessmann Group KG and Viessmann HoldCo. In addition, Viessmann Group KG, as the sole stockholder
of Viessmann HoldCo, may be deemed to be the beneficial owner of the shares of Common Stock held by Viessmann HoldCo.
Item 6: Contracts, Arrangements, Understandings
or Relationships With Respect to Securities of the Issuer
Item 6 of the Schedule 13D is hereby amended
and supplemented by adding the following paragraph at the end thereof:
Contribution Agreement
On November 14, 2024, Viessmann Group KG and Viessmann HoldCo entered
into the Contribution Agreement, pursuant to which Viessmann Group KG transferred an additional 5,860,896 shares of Common Stock to Viessmann
HoldCo in the form of a contribution to the capital of Viessmann HoldCo.
Item 7: Material to be Filed as Exhibits
Item 7 of the Schedule 13D is hereby amended
and restated in its entirety as follows:
Exhibit 99.1 |
Joint Filing Agreement, dated as of November 13, 2024, by and among Viessmann Traeger HoldCo GmbH, Viessmann Generations Group GmbH & Co. KG, Viessmann Komplementär B.V., Viessmann Beteiligungs AG, Viessmann Zweite Beteiligungs B.V. and Maximilian Viessmann (incorporated by reference to Exhibit 99.1 to Amendment No. 2). |
Exhibit 99.2 |
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 99.3 |
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). |
Exhibit 99.4 |
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 99.5 |
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 99.6 |
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). |
Exhibit 99.7 |
Limited Power of Attorney of Maximilian Viessmann, dated as of November 13, 2024 (incorporated by reference to Exhibit 99.7 to Amendment No. 2). |
Exhibit 99.8 |
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 99.9 |
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 Amendment No. 2). |
Exhibit 99.10 |
Contribution Agreement, dated as of November 14, 2024, by and among Viessmann Generations Group GmbH & Co. KG and Viessmann Traeger HoldCo GmbH. |
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief,
I certify that the information set forth in this statement is true, complete and correct.
Date: November 15, 2024
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VIESSMANN GENERATIONS GROUP GMBH & CO. KG |
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By: Viessmann Komplementär B.V.,
its sole general partner |
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By: |
/s/ Maximilian Viessmann |
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Name: Maximilian Viessmann |
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Title: President and Chief Executive Officer |
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VIESSMANN KOMPLEMENTÄR B.V. |
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By: |
/s/ Maximilian Viessmann |
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Name: Maximilian Viessmann |
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Title: President and Chief Executive Officer |
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VIESSMANN ZWEITE BETEILIGUNGS B.V. |
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By: |
/s/ Maximilian Viessmann |
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Name: Maximilian Viessmann |
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Title: President and Chief Executive Officer |
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/s/ Maximilian Viessmann |
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MAXIMILIAN VIESSMANN |
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VIESSMANN TRAEGER HOLDCO GMBH |
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By: |
/s/ Maximilian Viessmann |
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Name: Maximilian Viessmann |
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Title: Managing Director |
EXHIBIT INDEX
Exhibit 99.1 |
Joint Filing Agreement, dated as of November 13, 2024, by and among Viessmann Traeger HoldCo GmbH, Viessmann Generations Group GmbH & Co. KG, Viessmann Komplementär B.V., Viessmann Beteiligungs AG, Viessmann Zweite Beteiligungs B.V. and Maximilian Viessmann (incorporated by reference to Exhibit 99.1 to Amendment No. 2). |
Exhibit 99.2 |
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 99.3 |
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). |
Exhibit 99.4 |
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 99.5 |
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 99.6 |
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). |
Exhibit 99.7 |
Limited Power of Attorney of Maximilian Viessmann, dated as of November 13, 2024 (incorporated by reference to Exhibit 99.7 to Amendment No. 2). |
Exhibit 99.8 |
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 99.9 |
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 Amendment No. 2). |
Exhibit 99.10 |
Contribution Agreement, dated as of November 14, 2024, by and among Viessmann Generations Group GmbH & Co. KG and Viessmann Traeger HoldCo GmbH. |
EXHIBIT
99.10
CONTRIBUTION
AGREEMENT
Einlage- und
Abtretungsvertrag |
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Contribution
and Transfer
Agreement |
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zwischen |
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by and between |
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der Viessmann Generations
Group
GmbH & Co. KG
mit Sitz in Battenberg (Eder)
(Amtsgericht Marburg, HRA 3389)
(die „Group KG“) |
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Viessmann Generations
Group
GmbH & Co. KG
with registered office in Battenberg (Eder)
(local court of Marburg, HRA 3389)
(“Group KG”) |
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und |
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and |
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der Viessmann Traeger
HoldCo GmbH
mit Sitz in Battenberg (Eder)
(Amtsgericht Marburg, HRB 8493)
(die „HoldCo“) |
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Viessmann Traeger HoldCo
GmbH
with registered office in Battenberg (Eder)
(local court of Marburg, HRB 8493)
(“HoldCo”) |
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vom 14. November 2024 |
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of 14 November 2024 |
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I.
Vorbemerkung |
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I.
Recitals |
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(1) Die CARRIER GLOBAL CORPORATION ist eine nach dem Recht
des Bundesstaates Delaware, U.S.A., errichtete Kapitalgesellschaft (corporation) mit Aktennummer (file number) 7286518
und mit Hauptsitz der Geschäftsführung (principal executive offices) in 13995 Pasteur Boulevard, Palm Beach Gardens,
Florida 33418, U.S.A. („Carrier“). |
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(1) CARRIER GLOBAL CORPORATION is a corporation incorporated
under the laws of Delaware, U.S.A., with file number: 7286518, with its principal executive offices located at 13995 Pasteur Boulevard,
Palm Beach Gardens, Florida 33418, U.S.A. (“Carrier”). |
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(2)
Die Group KG hält 17.582.688 voll eingezahlte, auf den Namen lautende Aktien (common shares) der Carrier mit einem Nominalwert
(par value) von je USD 0,01 (Gesamtnominalwert: USD 175.826,88) (zusammen die „Carrier-Aktien“). |
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(2) Group KG holds 17,582,688 fully paid registered common
shares, par value USD 0.01 (total par value: USD 175,826.88), in Carrier (the “Carrier Shares”). |
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(3) Die
Group KG ist die alleinige Gesellschafterin der HoldCo. Die Group KG beabsichtigt, von ihren Carrier-Aktien einen Teil, nämlich
5.860.896 (Gesamtnominalwert: USD 58.608,96) (die „Ziel-Aktien“) ohne Gegenleistung zur Stärkung des Eigenkapitals
der HoldCo als sonstige freiwillige Zuzahlung in das Eigenkapital gem. § 272 Abs. 2 Nr. 4 HGB in die HoldCo einzulegen
und an diese abzutreten. |
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(3) Group KG is the sole shareholder of HoldCo. Group KG
intends to contribute a portion of its Carrier Shares, namely 5,860,896 (total par value: USD 58,608.96) (the "Target Shares")
to HoldCo as a voluntary additional payment into the equity capital of HoldCo pursuant to Sec. 272(2) no. 4 of the German Commercial
Code (Handelsgesetzbuch – “HGB”), without consideration, to strengthen HoldCo's equity capital and to
transfer the Target Shares to HoldCo. |
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II.
Einlage- und
Abtretungsvertrag |
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II.
Contribution and Transfer
Agreement |
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§ 1
Einlage und Abtretung |
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§ 1
Contribution and Transfer |
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1.1 Die
Group KG legt hiermit die Ziel-Aktien mit sofortiger wirtschaftlicher Wirkung (der „Stichtag“) in die HoldCo ein.
Das bedeutet, dass alle wirtschaftlichen Chancen und Risiken der Ziel-Aktien mit sofortiger Wirkung auf die HoldCo übergehen.
Die Group KG wird ab dem Stichtag bis zum dinglichen Übergang der Aktien (§ 1.2) alle Rechte, insbesondere die Stimmrechte,
und Verpflichtungen, die mit den |
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1.1 Group
KG hereby contributes the Target Shares to HoldCo with immediate economic effect (“Effective Date”). This means
that all economic opportunities and risks of the Target Shares are transferred to HoldCo with immediate effect. From the Effective
Date until the transfer in rem of the shares (§ 1.2), Group KG will exercise all rights, in particular the voting rights,
and obligations associated with the Target |
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Ziel-Aktien
verbunden sind, ausschließlich auf Anweisung der HoldCo ausüben bzw. die HoldCo wird die Group KG im Innenverhältnis
von Verpflichtungen freistellen. Eine anderweitige Verfügung über die Ziel-Aktien durch die Group KG ist ab sofort unzulässig. |
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Shares
exclusively on the instructions of HoldCo or HoldCo will indemnify Group KG internally from obligations. Any other disposal of the
Target Shares by Group KG is not permitted as of now. |
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1.2 Die
Group KG tritt hiermit die Ziel-Aktien mit dinglicher Wirkung auf den Zeitpunkt, zu dem die Eintragung des Übergangs der Ziel-Aktien
in den Büchern der Computershare Trust Company, N.A., als Übertragungsstelle (transfer agent) von Carrier vollzogen
wird, an die HoldCo ab. |
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1.2 Group
KG hereby transfers the Target Shares to HoldCo with effect in rem on the date on which the transfer of the Target Shares
is recorded in the books of Computershare Trust Company, N.A., as Carrier’s transfer agent. |
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1.3 Die
Abtretung der Ziel-Aktien nach diesem Einlage- und Abtretungsvertrag erfolgt mit allen Rechten, insbesondere den Stimmrechten, und
Verpflichtungen, die mit den Ziel-Aktien verbunden sind, soweit in diesem Vertrag nicht ausdrücklich etwas anderes geregelt
ist. Insbesondere umfasst die Abtretung die Dividendenansprüche aus den Ziel-Aktien bzgl. der Gewinne des laufenden Geschäftsjahres
sowie vergangener Geschäftsjahre der Carrier, soweit sie nicht bereits ausgeschüttet wurden oder ihre Ausschüttung
vor dem Stichtag (§ 1.1) beschlossen worden ist. § 101 BGB wird ausgeschlossen. |
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1.3 The
transfer of the Target Shares pursuant to this Contribution and Transfer Agreement includes the transfer of all rights, especially
the voting rights, and obligations pertaining thereto, unless expressly provided otherwise in this Agreement. In particular, the
transfer includes the dividend rights from the Target Shares with regard to the profits of the current financial year and previous
financial years of Carrier, unless they have already been distributed or their distribution has been resolved prior to the Effective
Date (§ 1.1). Sec. 101 of the German Civil Code (Bürgerliches Gesetzbuch – “BGB”) is excluded. |
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1.4 Die
HoldCo nimmt die Einlage und Abtretung der Ziel-Aktien nach Maßgabe der vorstehenden Absätze 1.1, 1.2 und 1.3 hiermit
an. |
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1.4 HoldCo
hereby accepts the contribution and transfer of the Target Shares according to the preceding paragraphs 1.1, 1.2 and 1.3. |
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§ 2
Keine Gegenleistung |
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§ 2
No Consideration |
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Die Abtretung gemäß
§ 1 dieses Vertrages erfolgt, wie in Ziff. (3) der Vorbemerkung näher beschrieben, ohne Gegenleistung als sonstige
freiwillige Zuzahlung der Group KG in das Eigenkapital der HoldCo gem. § 272 Abs. 2 Nr. 4 HGB. Eine Gegenleistung
wird der Group KG jeweils nicht gewährt. |
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The transfer pursuant to
§ 1 of this Agreement shall be made without consideration as a voluntary additional payment (andere freiwillige Zuzahlung)
by Group KG into the equity of HoldCo pursuant to Sec. 272(2) no. 4 HGB, as described in more detail in item (3) of the recitals.
No consideration is granted to Group KG. |
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§ 3
Handelsbilanzieller
Wertansatz |
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§ 3
Commercial Accounting Valuation |
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Die nach § 1 dieses
Vertrags abgetretenen Ziel-Aktien sind bei der HoldCo für handelsbilanzielle Zwecke in der Kapitalrücklage gemäß
§ 272 Abs. 2 Nr. 4 HGB zu erfassen. Der handelsbilanzielle Wertansatz erfolgt auf Basis der handelsrechtlichen
Anschaffungskosten der Ziel-Aktien, wie sie von der Group KG getragen wurden. |
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The
Target Shares transferred pursuant to § 1 of this Agreement are to be recognized by HoldCo in the capital reserve for commercial
accounting purposes in accordance with Sec. 272(2) no. 4 HGB. The commercial balance sheet valuation is based on the acquisition
costs of the Target Shares under commercial law as borne by the Group KG. |
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§ 4
Haftung |
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§ 4
Liability |
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4.1 Die
Group KG versichert der HoldCo in Bezug auf die Ziel-Aktien in der Form eines selbständigen Garantieversprechens (§ 311
Abs. 1 BGB), dass die folgenden Aussagen am Stichtag (§ 1.1) und beim dinglichen Übergang der Aktien (§ 1.2)
zutreffend sind: |
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4.1 Group
KG guarantees HoldCo in relation to the Target Shares in the form of an independent guarantee promise (selbständiges Garantieversprechen)
(Sec. 311(1) BGB) that the following statements are correct at the Effective Date (§ 1.1) and when the Target Shares are transferred
in rem (§ |
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1.2): |
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4.1.1
dass sie alleinige Inhaberin der Ziel-Aktien ist; |
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4.1.1
it is the sole owner of the Target Shares; |
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4.1.2 sie
über die Ziel-Aktien frei verfügen kann; |
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4.1.2 it
can freely dispose of the Target Shares; |
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4.1.3 die
Ziel-Aktien frei von dinglichen Rechten Dritter und auch nicht Gegenstand von An-, Vorkaufs- oder sonstigen obligatorischen Rechten
Dritter sind; |
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4.1.3 the
Target Shares are free from third-party rights in rem and are also not subject to third-party rights of purchase, pre-emption,
or other obligatory rights; |
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4.1.4 die
Ziel-Aktien voll eingezahlt sind, die hierauf geleisteten Einlagen weder offen noch verdeckt zurückgewährt wurden und diese
Aktien frei von Nachzahlungs-, Nebenleistungs- oder sonstigen Verpflichtungen oder Beschränkungen sind; |
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4.1.4 the
Target Shares are fully paid, the contributions made on them have not been repaid either openly or covertly and these shares are
free of any obligations or restrictions to make subsequent payments, ancillary payments or other obligations or restrictions; |
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4.1.5 Für
das Angebot und die Einlage der Ziel-Aktien durch die Group KG an bzw. in die HoldCo in der in diesem Einlage- und Abtretungsvertrag
vorgesehenen Weise ist keine Registrierung nach dem Securities Act von 1933 in seiner jeweils gültigen Fassung (der "Securities
Act") erforderlich. Die Ziel-Aktien (i) wurden der HoldCo nicht durch eine allgemeine Aufforderung oder eine allgemeine
Werbung angeboten und (ii) werden der HoldCo nicht in einer Weise angeboten, die |
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4.1.5 No
registration under the Securities Act of 1933, as amended (the “Securities Act”) is required for the offer and
contribution of the Target Shares by Group KG to HoldCo in the manner contemplated by this Contribution and Transfer Agreement. The
Target Shares (i) were not offered to HoldCo by any form of general solicitation or general advertising and (ii) are not being offered
to HoldCo in a manner involving a public offering under, or in a distribution in violation of, the Se |
ein
öffentliches Angebot gemäß dem Securities Act oder den Wertpapiergesetzen einer anwendbaren Rechtsordnung darstellt,
oder in einer Weise vertrieben, die gegen eines dieser Gesetze verstößt. Weder die Group KG noch irgendeine in ihrem Namen
handelnde Person hat in Verbindung mit einem Angebot oder Verkauf der Ziel-Aktien irgendeine Form von allgemeiner Aufforderung ausgesprochen
oder allgemeiner Werbung gemacht, jeweils im Sinne von Regulation D des Securities Act, oder wird dies tun. Weder die Group KG noch
irgendeine in ihrem Namen handelnde Person hat irgendeine Maßnahme ergriffen oder wird irgendeine Maßnahme ergreifen,
die die Ausgabe oder den Verkauf der Ziel-Aktien den Registrierungserfordernissen von Section 5 des Securities Act oder von Wertpapier-
oder Blue-Sky-Gesetzen einer anwendbaren Rechtsordnung unterwerfen würde. |
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curities
Act or the securities laws of any applicable jurisdiction. Neither Group KG nor any person acting on its behalf has engaged or will
engage in any form of general solicitation or general advertising (within the meaning of Regulation D of the Securities Act) in connection
with any offer or sale of the Target Shares, or has taken, or will take, any action that would subject the issuance or sale of the
Target Shares to the registration requirements of Section 5 of the Securities Act or to the registration requirements of any securities
or blue sky laws of any applicable jurisdiction. |
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4.2 Die
Group KG haftet für die ordnungsgemäße Erfüllung der Einlagepflicht sowie für den rechtsmangelfreien Erwerb
der Ziel-Aktien. Eine Haftung wegen Vorsatz und Arglist bleibt stets unberührt. |
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4.2 Group
KG is liable for the proper fulfillment of the contribution obligation and for the acquisition of the Target Shares free of legal
defects. Liability for intent and fraudulent conduct always remains unaffected. |
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4.3 Die
HoldCo versichert der Group KG in Bezug auf die Ziel-Aktien in der Form eines selbständigen Garantieversprechens (§ 311
Abs. 1 BGB), dass: |
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4.3 HoldCo
guarantees Group KG in relation to the Target Shares in the form of an independent guarantee promise (selbständiges Garantieversprechen)
(Sec. 311(1) BGB) that: |
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4.3.1
sie versteht, dass die Ziel-Aktien im Rahmen einer Transaktion angeboten werden, die kein öffentliches Angebot im Sinne
des Securities Act darstellt, und dass die Ziel-Aktien nicht gemäß dem Securities Act oder den Wertpapiergesetzen einer
anwendbaren Rechtsordnung registriert wurden. Die HoldCo versteht, dass es sich bei den Ziel-Aktien um „restricted securities"
(im Sinne von Rule 144 des Securities Act) handelt, die ohne eine wirksame Registrierungserklärung nach dem Securities Act nicht
weiterverkauft, übertragen, verpfändet oder anderweitig veräußert werden dürfen, außer (i) an Carrier
oder eine Tochtergesellschaft von Carrier, (ii) an Nicht-US-Personen im Rahmen von Angeboten und Verkäufen, die im Rahmen einer
„Offshore-Transaktion“, wie definiert in und unter den Voraussetzungen von Regulation S des Securities Act, erfolgen,
(iii) gemäß Rule 144 des Securities Act, sofern deren sämtliche anwendbaren Bedingungen erfüllt sind, oder (iv)
gemäß einer anderen anwendbaren Befreiung von den Registrierungsanforderungen des Securities Act, jeweils in Übereinstimmung
mit den anwendbaren Wertpapiergesetzen eines Bundesstaates der Vereinigten Staaten oder einer anderen anwendbaren Rechtsordnung,
und dass die Bu |
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4.3.1
it understands that the Target Shares are being offered in a transaction not involving any public offering within the meaning of
the Securities Act and that the Target Shares have not been registered under the Securities Act or the securities laws of any applicable
jurisdiction. HoldCo understands that the Target Shares are “restricted securities” (as defined in Rule 144 under the
Securities Act) and may not be resold, transferred, pledged or otherwise disposed of absent an effective registration statement under
the Securities Act, except (i) to Carrier or a subsidiary thereof, (ii) to non-U.S. persons pursuant to offers and sales
that occur in an “offshore transaction” as defined in, and meeting the requirements of, Regulation S under the Securities
Act, (iii) pursuant to Rule 144 under the Securities Act, provided that all of the applicable conditions thereof have been met
or (iv) pursuant to another applicable exemption from the registration requirements of the Securities Act, in each case in accordance
with any applicable securities laws of any state of the United States or other applicable jurisdiction, and that the book-entry records
representing the Target Shares shall contain a legend to such effect; |
chungsbelege
(book-entry records), die die Ziel-Aktien repräsentieren, eine entsprechende Kennzeichnung enthalten; |
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4.3.2 sie
von der Absicht der Group KG, die Ziel-Aktien anzubieten, ausschließlich durch direkten Kontakt zwischen ihr und der Group
KG erfahren hat. Die HoldCo hat von dem Angebot der Ziel-Aktien nicht auf andere Weise erfahren. Sie wurden ihr auch nicht auf andere
Weise angeboten. |
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4.3.2 it
became aware of Group KG’s intention to offer the Target Shares solely by means of direct contact between it and Group KG.
HoldCo did not become aware of the offering of the Target Shares, nor were the Target Shares offered to HoldCo, by any other means.
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4.4 Sowohl
die Group KG als auch die HoldCo erkennen an und erklären sich damit einverstanden, dass (i) die Ziel-Aktien Gegenstand des
Investor Rights Agreements vom 2. Januar 2024 zwischen Carrier und der Group KG (das „Investor Rights Agreement“)
sind, (ii) die Buchungsbelege (book-entry records), die die Ziel-Aktien repräsentieren, eine entsprechende Kennzeichnung
enthalten, (iii) die HoldCo gemäß den Bestimmungen des Investor Rights Agreements verpflichtet ist, sich schriftlich zu
Gunsten von Carrier den Bestimmungen des Investor Rights Agreement zu unterwerfen, und (iv) die Abtretung der Ziel-Aktien von der
Group KG an die HoldCo gemäß diesem Einlage- und Abtretungsvertrag ein „Permitted Transfer“ (gemäß
der Definition dieses Begriffs in dem Investor Rights Agreement) ist. |
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4.4 Each
of Group KG and HoldCo acknowledges and agrees that (i) the Target Shares are subject to that certain Investor Rights Agreement,
dated as of January 2, 2024, by and between Carrier and Group KG (the “Investor Rights Agreement”), (ii) the book-entry
records representing the Target Shares shall contain a legend to such effect, (iii) HoldCo is required, pursuant to the terms of
the Investor Rights Agreement, to agree in a writing for the benefit of Carrier to be bound by the terms thereof and (iv) the transfer
of the Target Shares from Group KG to HoldCo pursuant to this Contribution and Transfer Agreement is a “Permitted Transfer”
(as such term is defined in the Investor Rights Agreement). |
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4.5 Ansonsten
enthält dieser Vertrag keine Beschaffenheitsangaben, Gewährleistun |
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4.5 Otherwise,
this Agreement does not contain any representations, warranties or |
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gen oder Garantien
hinsichtlich der Ziel-Aktien, der Carrier oder des Unternehmens der Carrier, insbesondere nicht hinsichtlich der Werthaltigkeit und
Ertragsfähigkeit der Ziel-Aktien. Soweit gesetzlich zulässig, sind alle über die in diesem Vertrag geregelten Ansprüche
und Rechte der HoldCo hinausgehenden Ansprüche und Rechte unabhängig von ihrer Entstehung, ihrem Umfang und ihrer rechtlichen
Grundlage ausgeschlossen. |
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guarantees with
respect to the Target Shares, Carrier or Carriers' business, in particular with respect to the value and profitability of the Target
Shares. To the extent permitted by law, all claims and rights of HoldCo beyond those regulated in this Agreement are excluded, irrespective
of their origin, scope and legal basis. |
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§ 5
Rechtswahl, Sprache |
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§ 5
Choice of Law, Language |
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5.1 Dieser
Vertrag unterliegt deutschem Recht. |
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5.1 This
Agreement shall be governed by the laws of Germany. |
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5.2 Diesem
Vertrag in Deutsch ist in der rechten Spalte eine englische Übersetzung beigefügt, die nicht Teil des Vertrags ist und
lediglich Informationszwecken dient. Die deutsche Sprachfassung ist die allein maßgebliche und rechtlich bindende Sprachfassung.
Werden in der deutschen Sprachfassung Übersetzungen von englischen Rechtsbegriffen verwendet, ist einer etwaigen Auslegung dieses
Vertrags der jeweilige englische Rechtsbegriff zugrunde zu legen. |
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5.2 This
Agreement in German is accompanied by an English translation in the right-hand column, which is not part of the Agreement and is
for information purposes only. The German version is the sole authoritative and legally binding version. If translations of English
legal terms are used in the German language version, any interpretation of this Agreement shall be based on the respective English
legal term. |
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§ 6
Schlussbestimmungen |
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§ 6
Final Provisions |
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6.1 Änderungen
dieses Vertrages bedürfen zu ihrer Wirksamkeit der Schriftform, soweit nicht eine strengere Form gesetzlich vor |
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6.1 Amendments
to this Agreement must be made in writing to be effective, unless a stricter form is prescribed by law. This al |
geschrieben
ist. Dies gilt auch für Änderungen dieses Absatzes. |
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so
applies to amendments to this paragraph. |
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6.2 Sollten
einzelne oder mehrere Bestimmungen dieses Vertrages unwirksam oder undurchführbar sein oder werden oder sollte dieser Vertrag
eine oder mehrere Regelungslücken enthalten, wird hierdurch die Gültigkeit der übrigen Bestimmungen dieses Vertrages
nicht berührt. Statt der unwirksamen oder undurchführbaren Bestimmung soll eine Bestimmung gelten, die dem wirtschaftlichen
Ergebnis der unwirksamen oder undurchführbaren Bestimmung in zulässiger Weise am nächsten kommt. Statt der lückenhaften
Regelung soll eine Regelung gelten, die von den Parteien im Hinblick auf ihre wirtschaftliche Absicht getroffen worden wäre,
wenn sie die Regelungslücke erkannt hätten. |
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6.2 Should
one or more provisions of this Agreement be or become invalid or unenforceable or should this Agreement contain one or more loopholes,
this shall not affect the validity of the remaining provisions of this Agreement. The invalid or unenforceable provision shall be
replaced by a provision that comes as close as possible to the economic result of the invalid or unenforceable provision in a permissible
manner. Instead of the incomplete provision, a provision shall apply which would have been agreed by the parties with regard to their
economic intention if they had recognized the loophole. |
München,
den / the 14. November 2024
Für
die / For Group KG,
vertreten durch ihre Komplementärin / represented by its general partner
Viessmann Komplementär B.V.:
/s/
Maximilian Viessmann
_____________________________________
Maximilian Viessmann
Präsident und CEO der Komplementärin /
President and CEO of the general partner
Für
die / For HoldCo:
/s/
Maximilian Viessmann
_____________________________________
Maximilian Viessmann
Geschäftsführer /
Managing Director
Carrier Global (NYSE:CARR)
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