De Lange Bob's Form 4 filing
Caterpillar Inc (CAT) · filed May 14, 2024
- Accession no.
- 0001104659-24-061054
- Filed
- May 14, 2024
- Trade date
- May 13, 2024
- Filing delay
- 1 day
- Rule 10b5-1 plan
- Not checked
This filing lists 5 non-derivative transactions and 2 derivative transactions. Open-market sales total $7.80M. 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 |
|---|---|
| De Lange BobCIK 0001694342 | 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 |
|---|---|---|---|---|---|---|---|---|
| May 13, 2024 | Common Stock | MOption exerciseAcquired | +717 | $74.77 | +$53,610.09 | 71,488 | Direct | |
| May 13, 2024 | Common Stock | FTax withholdingDisposed | −373 | $356.46 | −$132,959.58 | 71,115 | Direct | |
| May 13, 2024 | Common Stock | MOption exerciseAcquired | +29,834 | $95.66 | +$2,853,920.44 | 100,949 | Direct | |
| May 13, 2024 | Common Stock | FTax withholdingDisposed | −7,987 | $357.30 | −$2,853,755.1 | 92,962 | Direct | |
| May 13, 2024 | Common Stock | SSaleDisposed | −21,847 | $356.90F1 | −$7,797,194.3 | 71,115 | 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 |
|---|---|---|---|---|---|---|---|---|
| May 13, 2024 | Common Stock | MOption exerciseDisposed | −717 | $74.77 | −$53,610.09 | 0 | Direct | |
| May 13, 2024 | Common Stock | MOption exerciseDisposed | −29,834 | $95.66 | −$2,853,920.44 | 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 $356.75 to $357.10. 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.