Form 4 for CAT Caterpillar Inc.
Accepted 2023-08-03 00:00:00 ET · period of report 2023-08-02 · accession 0001104659-23-087174 · 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 | 2023-08-03 | 2023-08-02 | CAT | BONFIELD ANDREW R J | CFO | M - OptEx | $212.49 | +45.0K | 88.7K | +103% | +$9.56M |
| DM | 2023-08-03 | 2023-08-02 | CAT | BONFIELD ANDREW R J | CFO | F - Tax | $289.99 | -37.7K | 77.3K | -33% | -$10.93M |
| DM | 2023-08-03 | 2023-08-02 | CAT | BONFIELD ANDREW R J | CFO | M - OptEx | $212.49 | +45.0K | 15.4K | New | +$9.56M |
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 | 2023-08-02 | M | A | 30,786 | $219.76 | 100,813 | D | — | — | |
| 2 | Common | Common Stock | 2023-08-02 | F | D | 26,264 | $289.99 | 74,549 | D | — | — | |
| 3 | Common | Common Stock | 2023-08-02 | F | D | 11,419 | $289.99 | 77,317 | D | — | — | |
| 4 | Common | Common Stock | 2023-08-02 | M | A | 14,187 | $196.70 | 88,736 | D | — | — | |
| 5 | Derivative | Employee Stock Options | 2023-08-02 | M | A | 14,187 | $196.70 | 28,372 | D | $196.70 · — to 2032-03-07 | 14,187 Common Stock | (F2) 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 |
| 6 | Derivative | Employee Stock Options | 2023-08-02 | M | A | 30,786 | $219.76 | 15,393 | D | $219.76 · — to 2031-03-01 | 30,786 Common Stock | (F1) 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. |