Form 4 for CAT Caterpillar Inc.
Accepted 2022-11-10 00:00:00 ET · period of report 2022-05-26 · accession 0001104659-22-116967 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DMI | 2022-11-10 | 2022-05-26+ | CAT | Umpleby III Donald J | COB, CEO, Dir | G - Gift | $0.00 | -21.3K | 0 | -100% | $0 |
| D | 2022-11-10 | 2022-11-08 | CAT | Umpleby III Donald J | COB, CEO, Dir | F - Tax | $229.65 | -113.9K | 214.1K | -35% | -$26.16M |
| D | 2022-11-10 | 2022-11-08 | CAT | Umpleby III Donald J | COB, CEO, Dir | M - OptEx | $127.60 | +151.4K | 328.0K | +86% | +$19.32M |
| D | 2022-11-10 | 2022-11-08 | CAT | Umpleby III Donald J | COB, CEO, Dir | M - OptEx | $0.00 | -151.4K | 75.7K | -67% | $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 | 2022-08-18 | G | D | 7,490 | $0.00 | 0 | I | — | — | (F3) Gift of shares to an irrevocable trust of which a member of the reporting person's immediate family serves as trustee and of which the reporting person's descendants are beneficiaries. |
| 2 | Common | Common Stock | 2022-11-08 | F | D | 113,927 | $229.65 | 214,052 | D Held by Grantor Retained Annuity | — | — | |
| 3 | Common | Common Stock | 2022-05-26 | G | D | 13,835 | $0.00 | 0 | I | — | — | (F3) Gift of shares to an irrevocable trust of which a member of the reporting person's immediate family serves as trustee and of which the reporting person's descendants are beneficiaries. |
| 4 | Common | Common Stock | 2022-11-08 | M | A | 151,402 | $127.60 | 327,979 | D Held by Grantor Retained Annuity | — | — | (F1) Reflects 7,925 shares transferred on May 26, 2022 and 36,674 shares transferred on August 18, 2022 from Grantor Retained Annuity Trusts. (F2) Reflects 24,297 shares transferred on February 24, 2022 to a Grantor Retained Annuity Trust. |
| 5 | Derivative | Employee Stock Options | 2022-11-08 | M | D | 151,402 | $0.00 | 75,701 | D | $127.60 · — to 2030-03-02 | 151,402 Common Stock | (F6) 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. |