Creed Joseph E's Form 4 filing
Caterpillar Inc (CAT) · filed Aug 4, 2023
- Accession no.
- 0001104659-23-087955
- Filed
- Aug 4, 2023
- Trade date
- Aug 3, 2023
- Filing delay
- 1 day
- Rule 10b5-1 plan
- Not checked
This filing lists 4 non-derivative transactions and 1 derivative transaction. Open-market sales total $2.08M. 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 |
|---|---|
| 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 |
|---|---|---|---|---|---|---|---|---|
| Aug 3, 2023 | Common Stock | SSaleDisposed | −3,037 | $284.84 | −$865,059.08 | 0 | Direct | |
| Aug 3, 2023 | Common Stock | MOption exerciseAcquired | +7,698 | $127.60 | +$982,264.8 | 7,698 | Direct | |
| Aug 3, 2023 | Common Stock | FTax withholdingDisposed | −3,449 | $284.78 | −$982,206.22 | 4,249 | Direct | |
| Aug 3, 2023 | Common Stock | SSaleDisposed | −4,249 | $285.55 | −$1,213,301.95 | 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 |
|---|---|---|---|---|---|---|---|---|
| Aug 3, 2023 | Common Stock | MOption exerciseDisposed | −7,698 | $127.60 | −$982,264.8 | 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.