Form 4 for CAT Caterpillar Inc.
Accepted 2023-08-02 00:00:00 ET · period of report 2023-08-01 · accession 0001104659-23-086929 · 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 | 2023-08-02 | 2023-08-01 | CAT | De Lange Bob | Group Pres | S - Sale+OE | $275.00 | -20.0K | 53.7K | -27% | -$5.50M |
| D | 2023-08-02 | 2023-08-01 | CAT | De Lange Bob | Group Pres | M - OptEx | $95.66 | +20.0K | 73.7K | +37% | +$1.91M |
| D | 2023-08-02 | 2023-08-01 | CAT | De Lange Bob | Group Pres | M - OptEx | $95.66 | -20.0K | 59.8K | -25% | -$1.91M |
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 | 2023-08-01 | S | D | 20,000 | $275.00 | 53,671 | D | — | — | |
| 2 | Common | Common Stock | 2023-08-01 | M | A | 20,000 | $95.66 | 73,671 | D | — | — | (F1) Includes adjustment for dividends accrued. |
| 3 | Derivative | Employee Stock Options | 2023-08-01 | M | D | 20,000 | $95.66 | 59,834 | D | $95.66 · — to 2027-03-06 | 20,000 Common Stock | (F2) The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 6, 2017 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. |