Bonfield Andrew R J's Form 4 filing
Caterpillar Inc (CAT) · filed Feb 6, 2024
- Accession no.
- 0001104659-24-011089
- Filed
- Feb 6, 2024
- Trade date
- Feb 2-5, 2024
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Checked
This filing lists 3 non-derivative transactions. Open-market sales total $6.43M. It was filed 4 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 |
|---|---|
| Bonfield Andrew R JCIK 0001199292 | Officer (Chief Financial 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 |
|---|---|---|---|---|---|---|---|---|
| Feb 2, 2024 | Common Stock | SSaleDisposed | −10,000 | $310.10F1 | −$3,101,000 | 57,317 | Direct | |
| Feb 5, 2024 | Common Stock | SSaleDisposed | −7,196 | $332.69F2 | −$2,394,037.24 | 50,121 | Direct | |
| Feb 5, 2024 | Common Stock | SSaleDisposed | −2,804 | $333.13F3 | −$934,096.52 | 47,317 | 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 $310.00 to $310.25. 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 $332.07 to $333.05. 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.
- F3
This transaction was executed in multiple trades at prices ranging from $333.07 to $333.49. 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.