Form 4 for CAT Caterpillar Inc.
Accepted 2022-02-10 00:00:00 ET · period of report 2021-07-06 · accession 0001104659-22-019407 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2022-02-10 | 2021-07-06 | CAT | Umpleby III Donald J | COB, CEO, Dir | A - Grant | $0.00 | +42.3K | 174.3K | +32% | $0 | |
| 2022-02-10 | 2022-02-08 | CAT | Umpleby III Donald J | COB, CEO, Dir | F - Tax | $200.77 | -18.0K | 156.3K | -10% | -$3.61M | |
| I | 2022-02-10 | 2021-12-01 | CAT | Umpleby III Donald J | COB, CEO, Dir | G - Gift | $0.00 | -1,520 | 0 | -100% | $0 |
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 | 2021-07-06 | A | A | 42,281 | $0.00 | 174,259 | D Held by Grantor Retained Annuity | — | — | (F1) Represents 33,000 shares transferred on July 6, 2021 and 24,000 shares transferred on August 3, 2021 to Grantor Retained Annuity Trusts. (F2) Represents 6,411 shares received on August 10, 2021 and 2,875 shares received on December 1, 2021 from Grantor Retained Annuity Trusts. |
| 2 | Common | Common Stock | 2022-02-08 | F | D | 17,984 | $200.77 | 156,275 | D | — | — | (F3) Represents shares withheld from the reporting person to satisfy tax obligations arising from the vesting of performance - based restricted stock units granted on March 4, 2019. |
| 3 | Common | Common Stock | 2021-12-01 | G | D | 1,520 | $0.00 | 0 | I | — | — | (F4) Gift of shares to an irrevocable trust of which a member of the reporting person's immediate family serves as trustee end of which the reporting person's decendants are beneficiaries. |