Fassino Anthony D.'s Form 4 filing
Caterpillar Inc (CAT) · filed Aug 31, 2023
- Accession no.
- 0001104659-23-097179
- Filed
- Aug 31, 2023
- Trade date
- Aug 29-30, 2023
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not checked
This filing lists 9 non-derivative transactions and 3 derivative transactions. Open-market sales total $1.59M. It was filed 2 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 |
|---|---|
| Fassino Anthony D.CIK 0001839757 | 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 29, 2023 | Common Stock | MOption exerciseAcquired | +2,693 | $74.77 | +$201,355.61 | 18,875 | Direct | |
| Aug 29, 2023 | Common Stock | FTax withholdingDisposed | −721 | $279.00 | −$201,159 | 18,154 | Direct | |
| Aug 29, 2023 | Common Stock | SSaleDisposed | −1,972 | $279.00 | −$550,188 | 16,182 | Direct | |
| Aug 29, 2023 | Common Stock | MOption exerciseAcquired | +1,447 | $95.66 | +$138,420.02 | 17,629 | Direct | |
| Aug 29, 2023 | Common Stock | FTax withholdingDisposed | −496 | $279.00 | −$138,384 | 17,133 | Direct | |
| Aug 29, 2023 | Common Stock | SSaleDisposed | −951 | $279.00 | −$265,329 | 16,182 | Direct | |
| Aug 30, 2023 | Common Stock | MOption exerciseDisposed | −4,141 | $95.66 | −$396,128.06 | 20,323 | Direct | |
| Aug 30, 2023 | Common Stock | FTax withholdingDisposed | −1,401 | $282.57 | −$395,880.57 | 18,922 | Direct | |
| Aug 30, 2023 | Common Stock | SSaleDisposed | −2,740 | $282.57 | −$774,241.8 | 16,182 | 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 29, 2023 | Common Stock | MOption exerciseAcquired | +2,693 | $74.77 | +$201,355.61 | 0 | Direct | |
| Aug 29, 2023 | Common Stock | MOption exerciseAcquired | +1,447 | $95.66 | +$138,420.02 | 4,141 | Direct | |
| Aug 30, 2023 | Common Stock | MOption exerciseAcquired | +4,141 | $95.66 | +$396,128.06 | 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.