Form 4 for CAT Caterpillar Inc.
Accepted 2022-03-21 00:00:00 ET · period of report 2022-03-17 · accession 0000018230-22-000082 · 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 | 2022-03-21 | 2022-03-17 | CAT | Long Suzette M | CLO, GC | S - Sale+OE | $220.00 | -40.4K | 18.2K | -69% | -$8.88M |
| DM | 2022-03-21 | 2022-03-17 | CAT | Long Suzette M | CLO, GC | M - OptEx | $132.31 | +36.5K | 34.2K | New | +$4.83M |
| DM | 2022-03-21 | 2022-03-17 | CAT | Long Suzette M | CLO, GC | M - OptEx | $132.31 | +36.5K | 0 | New | +$4.83M |
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 | 2022-03-17 | S | D | 3,816 | $220.00 | 14,365 | D | — | — | |
| 2 | Common | Common Stock | 2022-03-17 | S | D | 20,529 | $220.00 | 18,181 | D | — | — | |
| 3 | Common | Common Stock | 2022-03-17 | S | D | 16,011 | $220.00 | 18,181 | D | — | — | (F1) This transaction was executed in multiple trades at prices ranging from $220.00 to $220.01. 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. |
| 4 | Common | Common Stock | 2022-03-17 | M | A | 20,529 | $127.60 | 38,710 | D | — | — | |
| 5 | Common | Common Stock | 2022-03-17 | M | A | 16,011 | $138.35 | 34,192 | D | — | — | |
| 6 | Derivative | Employee Stock Options | 2022-03-17 | M | A | 20,529 | $127.60 | 20,529 | D | $127.60 · — to 2030-03-02 | 20,529 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. |
| 7 | Derivative | Employee Stock Options | 2022-03-17 | M | A | 16,011 | $138.35 | 0 | D | $138.35 · — to 2029-03-04 | 16,011 Common Stock | (F3) 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. |