Form 4 for CAT Caterpillar Inc.
Accepted 2023-03-06 00:00:00 ET · period of report 2023-03-02 · accession 0001104659-23-028791 · 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 | 2023-03-06 | 2023-03-02 | CAT | BONFIELD ANDREW R J | CFO | F - Tax | $249.31 | -16.3K | 70.0K | -19% | -$4.05M |
| D | 2023-03-06 | 2023-03-02 | CAT | BONFIELD ANDREW R J | CFO | M - OptEx | $127.60 | +23.1K | 86.3K | +37% | +$2.95M |
| D | 2023-03-06 | 2023-03-02 | CAT | BONFIELD ANDREW R J | CFO | M - OptEx | $127.60 | +23.1K | 0 | New | +$2.95M |
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 | 2023-03-02 | F | D | 16,256 | $249.31 | 70,027 | D | — | — | |
| 2 | Common | Common Stock | 2023-03-02 | M | A | 23,095 | $127.60 | 86,283 | D | — | — | |
| 3 | Derivative | Employee Stock Options | 2023-03-02 | M | A | 23,095 | $127.60 | 0 | D | $127.60 · — to 2030-03-02 | 23,095 Common Stock | (F1) 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. |