Johnson Denise C's Form 4 filing
Caterpillar Inc (CAT) · filed Aug 4, 2023
- Accession no.
- 0001104659-23-087958
- Filed
- Aug 4, 2023
- Trade date
- Aug 3, 2023
- Filing delay
- 1 day
- Rule 10b5-1 plan
- Not checked
This filing lists 8 non-derivative transactions and 2 derivative transactions. 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 Denise CCIK 0001608229 | 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 | MOption exerciseAcquired | +18,012 | $138.35 | +$2,491,960.2 | 35,980 | Direct | |
| Aug 3, 2023 | Common Stock | SSaleDisposed | −7,892 | –F1 | – | 28,088 | Direct | |
| Aug 3, 2023 | Common Stock | SSaleDisposed | −10,120 | –F2 | – | 17,968 | Direct | |
| Aug 3, 2023 | Common Stock | MOption exerciseAcquired | +23,736 | $127.60 | +$3,028,713.6 | 41,704 | Direct | |
| Aug 3, 2023 | Common Stock | SSaleDisposed | −16,610 | –F3 | – | 25,094 | Direct | |
| Aug 3, 2023 | Common Stock | SSaleDisposed | −2,300 | –F4 | – | 22,794 | Direct | |
| Aug 3, 2023 | Common Stock | SSaleDisposed | −4,112 | –F5 | – | 18,682 | Direct | |
| Aug 3, 2023 | Common Stock | SSaleDisposed | −714 | –F6 | – | 17,968 | 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 | −18,012 | $138.35 | −$2,491,960.2 | 0 | Direct | |
| Aug 3, 2023 | Common Stock | MOption exerciseDisposed | −23,736 | $127.60 | −$3,028,713.6 | 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.
- F1
This transaction was executed in multiple trades at prices ranging from $282.54 to $283.53. 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.
- F2
This transaction was executed in multiple trades at prices ranging from $283.54 to $284.15. 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 $284.15 to $285.05. 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.
- F4
This transaction was executed in multiple trades at prices ranging from $285.16 to $285.95. 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.
- F5
This transaction was executed in multiple trades at prices ranging from $286.31 to $287.22. 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.
- F6
This transaction was executed in multiple trades at prices ranging from $287.57 to $287.79. 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.