Form 4 for CAT Caterpillar Inc.
Accepted 2022-04-22 00:00:00 ET · period of report 2022-04-20 · accession 0000018230-22-000099 · 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 | 2022-04-22 | 2022-04-20 | CAT | Creed Joseph E | Group Pres | M - OptEx | $138.35 | +5,004 | 7,761 | +182% | +$692.3K |
| D | 2022-04-22 | 2022-04-20 | CAT | Creed Joseph E | Group Pres | S - Sale+OE | $235.00 | -5,004 | 2,757 | -64% | -$1.18M |
| D | 2022-04-22 | 2022-04-20 | CAT | Creed Joseph E | Group Pres | M - OptEx | $138.35 | -5,004 | 5,003 | -50% | -$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 | 2022-04-20 | M | A | 5,004 | $138.35 | 7,761 | D | — | — | |
| 2 | Common | Common Stock | 2022-04-20 | S | D | 5,004 | $235.00 | 2,757 | D | — | — | |
| 3 | Derivative | Employee Stock Options | 2022-04-20 | M | D | 5,004 | $138.35 | 5,003 | 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 on March 4, 2019 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. |