InsiderTrades

Form 4 for CAT Caterpillar Inc.

Accepted 2022-03-11 00:00:00 ET · period of report 2022-03-09 · accession 0000018230-22-000076 · 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
DM 2022-03-11 2022-03-09 CAT BONFIELD ANDREW R J CFO F - Tax $210.53 -32.6K 48.4K -40% -$6.86M
DM 2022-03-11 2022-03-09 CAT BONFIELD ANDREW R J CFO M - OptEx $132.31 +41.1K 63.0K +188% +$5.44M
DM 2022-03-11 2022-03-09 CAT BONFIELD ANDREW R J CFO M - OptEx $0.00 -41.1K 0 -100% $0

Purchase Sale Sale after option exercise All abbreviations

Every reported transaction

#TableSecurityDateCodeA/DSharesPriceOwned afterOwnExercise / expiryUnderlyingFootnotes
1 Common Common Stock 2022-03-09 F D 18,027 $210.53 53,487 D — —
2 Common Common Stock 2022-03-09 M A 23,095 $127.60 71,514 D — —
3 Common Common Stock 2022-03-09 F D 14,572 $210.53 48,419 D — —
4 Common Common Stock 2022-03-09 M A 18,012 $138.35 62,991 D — —
5 Derivative Employee Stock Options 2022-03-09 M D 23,095 $0.00 23,095 D $127.60 · — to 2030-03-02 23,095 Common Stock (F2) 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.
6 Derivative Employee Stock Options 2022-03-09 M D 18,012 $0.00 0 D $138.35 · — to 2029-03-04 18,012 Common Stock (F1) The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 4, 2019 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.