Form 4 for CAT Caterpillar Inc.
Accepted 2023-01-09 00:00:00 ET · period of report 2023-01-06 · accession 0001104659-23-002189 · 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 | 2023-01-09 | 2023-01-06 | CAT | Creed Joseph E | Group Pres | M - OptEx | $151.12 | +18.3K | 18.3K | New | +$2.76M |
| D | 2023-01-09 | 2023-01-06 | CAT | Creed Joseph E | Group Pres | S - Sale+OE | $249.00 | -18.3K | 0 | -100% | -$4.56M |
| D | 2023-01-09 | 2023-01-06 | CAT | Creed Joseph E | Group Pres | M - OptEx | $151.12 | -18.3K | 0 | -100% | -$2.76M |
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 | 2023-01-06 | M | A | 18,294 | $151.12 | 18,294 | D | — | — | |
| 2 | Common | Common Stock | 2023-01-06 | S | D | 18,294 | $249.00 | 0 | 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 | 2023-01-06 | M | D | 18,294 | $151.12 | 0 | D | $151.12 · — to 2028-03-05 | 18,294 Common Stock | (F3) The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 5, 2018 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. |