Form 4 for CAT Caterpillar Inc.
Accepted 2023-02-06 00:00:00 ET · period of report 2022-11-09 · accession 0001104659-23-011402 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2023-02-06 | 2023-02-03 | CAT | Johnson Cheryl H | CHRO | M - OptEx | $134.02 | +23.9K | 28.1K | +564% | +$3.20M |
| DM | 2023-02-06 | 2022-11-09+ | CAT | Johnson Cheryl H | CHRO | G - Gift | $0.00 | -7,300 | 14.4K | -34% | $0 |
| DM | 2023-02-06 | 2023-02-03 | CAT | Johnson Cheryl H | CHRO | S - Sale+OE | $250.44 | -23.9K | 13.9K | -63% | -$5.98M |
| DM | 2023-02-06 | 2023-01-20 | CAT | Johnson Cheryl H | CHRO | J - Other | $0.00 | -76.2K | 14.3K | -84% | $0 |
| DM | 2023-02-06 | 2023-02-03 | CAT | Johnson Cheryl H | CHRO | M - OptEx | $134.02 | -23.9K | 6,415 | -79% | -$3.20M |
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 | 2023-02-03 | M | A | 9,623 | $127.60 | 23,480 | D | — | — | |
| 2 | Common | Common Stock | 2023-02-03 | G | D | 693 | $0.00 | 13,857 | D | — | — | (F1) Includes adjustments for dividends accrued. |
| 3 | Common | Common Stock | 2023-02-03 | M | A | 14,260 | $138.35 | 28,117 | D | — | — | |
| 4 | Common | Common Stock | 2023-02-03 | S | D | 9,623 | $250.68 | 13,857 | D | — | — | (F3) This transaction was executed in multiple trades at prices ranging from $250.50 to $250.865. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. |
| 5 | Common | Common Stock | 2022-11-09 | G | D | 6,607 | $0.00 | 14,440 | D | — | — | (F1) Includes adjustments for dividends accrued. |
| 6 | Common | Common Stock | 2023-02-03 | S | D | 14,260 | $250.27 | 13,857 | D | — | — | (F2) This transaction was executed in multiple trades at prices ranging from $249.83 to $250.50. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. |
| 7 | Derivative | Employee Stock Options | 2023-01-20 | J | D | 16,039 | $0.00 | 16,038 | D | $127.60 · — to 2030-03-02 | 16,039 Common Stock | (F5) Reflects stock options transferred to a former spouse pursuant to a domestic relations order. (F8) 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. |
| 8 | Derivative | Employee Stock Options | 2023-01-20 | J | D | 15,541 | $0.00 | 15,541 | D | $219.76 · — to 2031-03-01 | 15,541 Common Stock | (F5) Reflects stock options transferred to a former spouse pursuant to a domestic relations order. (F9) The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 1, 2021 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. |
| 9 | Derivative | Employee Stock Options | 2023-01-20 | J | D | 12,091 | $0.00 | 12,090 | D | $196.70 · — to 2032-03-07 | 12,091 Common Stock | (F5) Reflects stock options transferred to a former spouse pursuant to a domestic relations order. (F10) The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 7, 2022 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. |
| 10 | Derivative | Employee Stock Options | 2023-02-03 | M | D | 14,260 | $138.35 | 0 | D | $138.35 · — to 2029-03-04 | 14,260 Common Stock | (F7) The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 4, 2019 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. |
| 11 | Derivative | Employee Stock Options | 2023-02-03 | M | D | 9,623 | $127.60 | 6,415 | D | $127.60 · — to 2030-03-02 | 9,623 Common Stock | (F8) 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. |
| 12 | Derivative | Employee Stock Options | 2023-01-20 | J | D | 18,295 | $0.00 | 18,294 | D | $151.12 · — to 2028-03-05 | 18,295 Common Stock | (F5) Reflects stock options transferred to a former spouse pursuant to a domestic relations order. (F6) The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 5, 2018 and vested equally in 1/3 increments on the first, second and third anniversaries of the grant date. |
| 13 | Derivative | Employee Stock Options | 2023-01-20 | J | D | 14,260 | $0.00 | 14,260 | D | $138.35 · — to 2029-03-04 | 14,260 Common Stock | (F5) Reflects stock options transferred to a former spouse pursuant to a domestic relations order. (F7) The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 4, 2019 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. |