Form 4 for CAT Caterpillar Inc.
Accepted 2022-12-28 00:00:00 ET · period of report 2022-12-27 · accession 0001104659-22-130462 · 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 | 2022-12-28 | 2022-12-27 | CAT | Johnson Denise C | Group Pres | M - OptEx | $127.60 | +23.7K | 32.3K | +276% | +$3.03M |
| D | 2022-12-28 | 2022-12-27 | CAT | Johnson Denise C | Group Pres | S - Sale+OE | $240.14 | -23.7K | 8,605 | -73% | -$5.70M |
| D | 2022-12-28 | 2022-12-27 | CAT | Johnson Denise C | Group Pres | M - OptEx | $127.60 | -23.7K | 23.7K | -50% | -$3.03M |
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 | 2022-12-27 | M | A | 23,737 | $127.60 | 32,342 | D | — | — | |
| 2 | Common | Common Stock | 2022-12-27 | S | D | 23,737 | $240.14 | 8,605 | D | — | — | (F1) This transaction was executed as multiple trades, all executed at the price reported above. The reporting person herby undertakes to provide upon request of the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares at which the transaction was effected. |
| 3 | Derivative | Employee Stock Options | 2022-12-27 | M | D | 23,737 | $127.60 | 23,736 | D | $127.60 · — to 2030-03-02 | 23,737 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. |