De Lange Bob's Form 4 filing
Caterpillar Inc (CAT) · filed Nov 8, 2024
- Accession no.
- 0001104659-24-115984
- Filed
- Nov 8, 2024
- Trade date
- Nov 7, 2024
- Filing delay
- 1 day
- Rule 10b5-1 plan
- Not checked
This filing lists 5 non-derivative transactions and 1 derivative transaction. Open-market sales total $5.19M. 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 |
|---|---|---|---|---|---|---|---|---|
| Nov 7, 2024 | Common Stock | MOption exerciseAcquired | +20,000 | $151.12 | +$3,022,400 | 91,107 | Direct | |
| Nov 7, 2024 | Common Stock | FTax withholdingDisposed | −7,343 | $411.58 | −$3,022,231.94 | 83,764 | Direct | |
| Nov 7, 2024 | Common Stock | SSaleDisposed | −5,329 | $408.82F2 | −$2,178,601.78 | 78,435 | Direct | |
| Nov 7, 2024 | Common Stock | SSaleDisposed | −4,830 | $411.13F3 | −$1,985,757.9 | 73,605 | Direct | |
| Nov 7, 2024 | Common Stock | SSaleDisposed | −2,498 | $411.61F4 | −$1,028,201.78 | 71,107 | 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 |
|---|---|---|---|---|---|---|---|---|
| Nov 7, 2024 | Common Stock | MOption exerciseDisposed | −20,000 | $151.12 | −$3,022,400 | 40,512 | 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.
- F2
This transaction was executed in multiple trades at prices ranging from $408.45 to $409.45. 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 $410.42 to $411.42. 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 $411.44 to $412.03. 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.