Form 4 for CAT Caterpillar Inc.
Accepted 2022-01-19 00:00:00 ET · period of report 2022-01-18 · accession 0000018230-22-000011 · 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 | 2022-01-19 | 2022-01-18 | CAT | Creed Joseph E | Group Pres | A - Grant | $138.35 | +5,004 | 5,004 | New | +$692.3K |
| D | 2022-01-19 | 2022-01-18 | CAT | Creed Joseph E | Group Pres | S - Sale | $230.00 | -5,004 | 0 | -100% | -$1.15M |
| D | 2022-01-19 | 2022-01-18 | CAT | Creed Joseph E | Group Pres | M - OptEx | $138.35 | -5,004 | 10.0K | -33% | -$692.3K |
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 | 2022-01-18 | A | A | 5,004 | $138.35 | 5,004 | D | — | — | |
| 2 | Common | Common Stock | 2022-01-18 | S | D | 5,004 | $230.00 | 0 | D | — | — | |
| 3 | Derivative | Employee Stock Options | 2022-01-18 | M | D | 5,004 | $138.35 | 10,007 | D | $138.35 · — to 2029-03-04 | 5,004 Common Stock | (F2) The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan March 4, 2019 and vest equally in 1/3 increments on each of the first, second and third anniversaries of the grant date. |