Form 4 for CAT Caterpillar Inc.
Accepted 2022-01-10 00:00:00 ET · period of report 2022-01-07 · accession 0000018230-22-000009 · 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 | Johnson Cheryl H | CHRO | S - Sale+OE | $225.00 | -6,415 | 16.3K | -28% | -$1.44M |
| D | 2022-01-10 | 2022-01-07 | CAT | Johnson Cheryl H | CHRO | M - OptEx | $127.60 | +6,415 | 22.7K | +39% | +$818.6K |
| D | 2022-01-10 | 2022-01-07 | CAT | Johnson Cheryl H | CHRO | M - OptEx | $127.60 | -6,415 | 32.1K | -17% | -$818.6K |
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 | 6,415 | $225.00 | 16,268 | D | — | — | (F2) This transaction was executed in multiple trades at prices ranging from $225.00 to $225.04. The price reported above reflects the weighted average sale (or purchase) 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. |
| 2 | Common | Common Stock | 2022-01-07 | M | A | 6,415 | $127.60 | 22,683 | D | — | — | (F1) Includes adjustments for dividends accrued. |
| 3 | Derivative | Employee Stock Options | 2022-01-07 | M | D | 6,415 | $127.60 | 32,077 | D | $127.60 · — to 2030-03-02 | 6,415 Common Stock | (F4) The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 2, 2020 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. |