Form 4 for CAT Caterpillar Inc.
Accepted 2023-06-09 00:00:00 ET · period of report 2023-06-07 · accession 0001104659-23-069580 · 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 | 2023-06-09 | 2023-06-07 | CAT | Long Suzette M | CLO, GC | F - Tax | $231.32 | -15.4K | 13.9K | -53% | -$3.57M |
| D | 2023-06-09 | 2023-06-07 | CAT | Long Suzette M | CLO, GC | M - OptEx | $127.60 | +20.5K | 29.3K | +234% | +$2.62M |
| D | 2023-06-09 | 2023-06-07 | CAT | Long Suzette M | CLO, GC | M - OptEx | $127.60 | -20.5K | 0 | -100% | -$2.62M |
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 | 2023-06-07 | F | D | 15,415 | $231.32 | 13,890 | D | — | — | |
| 2 | Common | Common Stock | 2023-06-07 | M | A | 20,529 | $127.60 | 29,305 | D | — | — | |
| 3 | Derivative | Employee Stock Options | 2023-06-07 | M | D | 20,529 | $127.60 | 0 | D | $127.60 · — to 2030-03-02 | 20,529 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 anniversary of the grant date. |