Creed Joseph E's Form 4 filing
Caterpillar Inc (CAT) · filed Jan 9, 2023
- Accession no.
- 0001104659-23-002189
- Filed
- Jan 9, 2023
- Trade date
- Jan 6, 2023
- Filing delay
- 3 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 2 non-derivative transactions and 1 derivative transaction. Open-market sales total $4.56M. It was filed 3 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 |
|---|---|
| Creed Joseph ECIK 0001739859 | Officer (Group President) |
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 |
|---|---|---|---|---|---|---|---|---|
| Jan 6, 2023 | Common Stock | MOption exerciseAcquired | +18,294 | $151.12 | +$2,764,589.28 | 18,294 | Direct | |
| Jan 6, 2023 | Common Stock | SSaleDisposed | −18,294 | $249.00 | −$4,555,206 | 0 | 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 |
|---|---|---|---|---|---|---|---|---|
| Jan 6, 2023 | Common Stock | MOption exerciseDisposed | −18,294 | $151.12 | −$2,764,589.28 | 0 | Direct |
Footnotes
Livermore does not store Form 4 footnotes. For price ranges, how indirect holdings are held and trading plan details, read the original on SEC EDGAR.