Form 4 for CAT Caterpillar Inc.
Accepted 2023-08-04 00:00:00 ET · period of report 2023-08-03 · accession 0001104659-23-087955 · 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 | 2023-08-04 | 2023-08-03 | CAT | Creed Joseph E | Group Pres | F - Tax | $284.78 | -3,449 | 4,249 | -45% | -$982.2K |
| DM | 2023-08-04 | 2023-08-03 | CAT | Creed Joseph E | Group Pres | S - Sale+OE | $285.25 | -7,286 | 0 | -100% | -$2.08M |
| D | 2023-08-04 | 2023-08-03 | CAT | Creed Joseph E | Group Pres | M - OptEx | $127.60 | +7,698 | 7,698 | New | +$982.3K |
| D | 2023-08-04 | 2023-08-03 | CAT | Creed Joseph E | Group Pres | M - OptEx | $127.60 | -7,698 | 0 | -100% | -$982.3K |
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 | 2023-08-03 | F | D | 3,449 | $284.78 | 4,249 | D | — | — | |
| 2 | Common | Common Stock | 2023-08-03 | S | D | 4,249 | $285.55 | 0 | D | — | — | (F1) This transaction was executed in multiple trades at prices ranging from $285.45 to $285.59. 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 at whch the transaction was effected. |
| 3 | Common | Common Stock | 2023-08-03 | S | D | 3,037 | $284.84 | 0 | D | — | — | |
| 4 | Common | Common Stock | 2023-08-03 | M | A | 7,698 | $127.60 | 7,698 | D | — | — | |
| 5 | Derivative | Employee Stock Options | 2023-08-03 | M | D | 7,698 | $127.60 | 0 | D | $127.60 · — to 2030-03-02 | 7,698 Common Stock | (F2) 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. |