Johnson Cheryl H's Form 4 filing
Caterpillar Inc (CAT) · filed Jul 19, 2023
- Accession no.
- 0001104659-23-082464
- Filed
- Jul 19, 2023
- Trade date
- Jul 18, 2023
- Filing delay
- 1 day
- Rule 10b5-1 plan
- Checked
This filing lists 2 non-derivative transactions and 1 derivative transaction. Open-market sales total $1.67M. It was filed 1 day 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 |
|---|---|
| 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 |
|---|---|---|---|---|---|---|---|---|
| Jul 18, 2023 | Common Stock | MOption exerciseAcquired | +6,415 | $127.60 | +$818,554 | 22,777 | Direct | |
| Jul 18, 2023 | Common Stock | SSaleDisposed | −6,415 | $260.00 | −$1,667,900 | 16,362 | 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 |
|---|---|---|---|---|---|---|---|---|
| Jul 18, 2023 | Common Stock | MOption exerciseDisposed | −6,415 | $127.60 | −$818,554 | 0 | 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.
No transaction price on this filing refers to a footnote.