Fassino Anthony D.'s Form 4 filing
Caterpillar Inc (CAT) · filed Sep 3, 2024
- Accession no.
- 0001104659-24-096430
- Filed
- Sep 3, 2024
- Trade date
- Aug 30, 2024
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not checked
This filing lists 3 non-derivative transactions and 1 derivative transaction. Open-market sales total $1.12M. 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 |
|---|---|
| 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 30, 2024 | Common Stock | MOption exerciseAcquired | +5,000 | $127.60 | +$638,000 | 38,442 | Direct | |
| Aug 30, 2024 | Common Stock | FTax withholdingDisposed | −1,815 | $351.43 | −$637,845.45 | 36,627 | Direct | |
| Aug 30, 2024 | Common Stock | SSaleDisposed | −3,185 | $351.36 | −$1,119,081.6 | 33,442 | 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 30, 2024 | Common Stock | MOption exerciseDisposed | −5,000 | $127.60 | −$638,000 | 17,133 | 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.