Form 4 for CAT Caterpillar Inc.
Accepted 2022-01-10 00:00:00 ET · period of report 2022-01-07 · accession 0000018230-22-000008 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2022-01-10 | 2022-01-07 | CAT | De Lange Bob | Group Pres | S - Sale+OE | $225.00 | -23.4K | 36.9K | -39% | -$5.27M |
| D | 2022-01-10 | 2022-01-07 | CAT | De Lange Bob | Group Pres | M - OptEx | $74.77 | +23.4K | 60.3K | +64% | +$1.75M |
| D | 2022-01-10 | 2022-01-07 | CAT | De Lange Bob | Group Pres | M - OptEx | $74.77 | -23.4K | 23.4K | -50% | -$1.75M |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2022-01-07 | S | D | 23,435 | $225.00 | 36,903 | D | — | — | |
| 2 | Common | Common Stock | 2022-01-07 | M | A | 23,435 | $74.77 | 60,338 | D | — | — | (F1) Includes adjustments for dividends accrued. |
| 3 | Derivative | Employee Stock Option | 2022-01-07 | M | D | 23,435 | $74.77 | 23,435 | D | $74.77 · — to 2026-03-07 | 23,435 Common Stock | (F2) The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 7, 2016 and vest equally in 1/3 increments on each of the first, second and third anniversaries of the grant date. |