Johnson Cheryl H's Form 4 filing
Caterpillar Inc (CAT) · filed Feb 6, 2023
- Accession no.
- 0001104659-23-011402
- Filed
- Feb 6, 2023
- Trade date
- Nov 9, 2022-Feb 3, 2023
- Filing delay
- 89 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 6 non-derivative transactions and 7 derivative transactions. Open-market sales total $5.98M. It was filed 89 days after the trade, past the 2-business-day deadline.
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 |
|---|---|
| Johnson Cheryl HCIK 0001552649 | Officer (Chief Human Resources Officer) |
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 |
|---|---|---|---|---|---|---|---|---|
| Nov 9, 2022 | Common Stock | GGiftDisposed | −6,607 | $0.00 | $0 | 14,440 | Direct | |
| Feb 3, 2023 | Common Stock | GGiftDisposed | −693 | $0.00 | $0 | 13,857 | Direct | |
| Feb 3, 2023 | Common Stock | MOption exerciseAcquired | +14,260 | $138.35 | +$1,972,871 | 28,117 | Direct | |
| Feb 3, 2023 | Common Stock | SSaleDisposed | −14,260 | $250.27F2 | −$3,568,850.2 | 13,857 | Direct | |
| Feb 3, 2023 | Common Stock | MOption exerciseAcquired | +9,623 | $127.60 | +$1,227,894.8 | 23,480 | Direct | |
| Feb 3, 2023 | Common Stock | SSaleDisposed | −9,623 | $250.68F3 | −$2,412,293.64 | 13,857 | 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 20, 2023 | Common Stock | JOtherDisposed | −18,295 | $0.00 | $0 | 18,294 | Direct | |
| Jan 20, 2023 | Common Stock | JOtherDisposed | −14,260 | $0.00 | $0 | 14,260 | Direct | |
| Jan 20, 2023 | Common Stock | JOtherDisposed | −16,039 | $0.00 | $0 | 16,038 | Direct | |
| Jan 20, 2023 | Common Stock | JOtherDisposed | −15,541 | $0.00 | $0 | 15,541 | Direct | |
| Jan 20, 2023 | Common Stock | JOtherDisposed | −12,091 | $0.00 | $0 | 12,090 | Direct | |
| Feb 3, 2023 | Common Stock | MOption exerciseDisposed | −14,260 | $138.35 | −$1,972,871 | 0 | Direct | |
| Feb 3, 2023 | Common Stock | MOption exerciseDisposed | −9,623 | $127.60 | −$1,227,894.8 | 6,415 | 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.
- F2
This transaction was executed in multiple trades at prices ranging from $249.83 to $250.50. The price reported above reflects the weighted average sale 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.
- F3
This transaction was executed in multiple trades at prices ranging from $250.50 to $250.865. The price reported above reflects the weighted average sale 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.