Form 4 for CAT Caterpillar Inc.
Accepted 2023-01-10 00:00:00 ET · period of report 2023-01-09 · accession 0001104659-23-002649 · 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 | 2023-01-10 | 2023-01-09 | CAT | De Lange Bob | Group Pres | S - Sale+OE | $250.00 | -11.0K | 44.6K | -20% | -$2.75M |
| D | 2023-01-10 | 2023-01-09 | CAT | De Lange Bob | Group Pres | M - OptEx | $74.77 | +11.0K | 55.6K | +25% | +$822.5K |
| D | 2023-01-10 | 2023-01-09 | CAT | De Lange Bob | Group Pres | M - OptEx | $74.77 | -11.0K | 717 | -94% | -$822.5K |
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 | 2023-01-09 | S | D | 11,000 | $250.00 | 44,559 | D | — | — | (F2) 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. |
| 2 | Common | Common Stock | 2023-01-09 | M | A | 11,000 | $74.77 | 55,559 | D | — | — | (F1) Includes adjustment for dividends accrued. |
| 3 | Derivative | Employee Stock Options | 2023-01-09 | M | D | 11,000 | $74.77 | 717 | D | $74.77 · — to 2026-03-07 | 11,000 Common Stock | (F3) The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 7, 2016 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. |