Long Suzette M's Form 4 filing
Caterpillar Inc (CAT) · filed Mar 21, 2022
- Accession no.
- 0000018230-22-000082
- Filed
- Mar 21, 2022
- Trade date
- Mar 17, 2022
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 5 non-derivative transactions and 2 derivative transactions. Open-market sales total $8.88M. It was filed 4 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Long Suzette MCIK 0001698572 | Officer (CLO/General Counsel) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Mar 17, 2022 | Common Stock | MOption exerciseAcquired | +16,011 | $138.35 | +$2,215,121.85 | 34,192 | Direct | |
| Mar 17, 2022 | Common Stock | SSaleDisposed | −16,011 | $220.00F1 | −$3,522,420 | 18,181 | Direct | |
| Mar 17, 2022 | Common Stock | MOption exerciseAcquired | +20,529 | $127.60 | +$2,619,500.4 | 38,710 | Direct | |
| Mar 17, 2022 | Common Stock | SSaleDisposed | −20,529 | $220.00 | −$4,516,380 | 18,181 | Direct | |
| Mar 17, 2022 | Common Stock | SSaleDisposed | −3,816 | $220.00 | −$839,520 | 14,365 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Mar 17, 2022 | Common Stock | MOption exerciseAcquired | +16,011 | $138.35 | +$2,215,121.85 | 0 | Direct | |
| Mar 17, 2022 | Common Stock | MOption exerciseAcquired | +20,529 | $127.60 | +$2,619,500.4 | 20,529 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
This transaction was executed in multiple trades at prices ranging from $220.00 to $220.01. The price reported above reflects the weighted average sale (or purchase) price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
Referenced by the price of 1 transaction in Table I.