Form 4 for CAT Caterpillar Inc.
Accepted 2023-08-04 00:00:00 ET · period of report 2023-08-03 · accession 0001104659-23-087958 · 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 | 2023-08-04 | 2023-08-03 | CAT | Johnson Denise C | Group Pres | S - Sale+OE | — | -41.7K | 18.0K | -70% | — |
| DM | 2023-08-04 | 2023-08-03 | CAT | Johnson Denise C | Group Pres | M - OptEx | $132.24 | +41.7K | 36.0K | New | +$5.52M |
| DM | 2023-08-04 | 2023-08-03 | CAT | Johnson Denise C | Group Pres | M - OptEx | $132.24 | -41.7K | 0 | -100% | -$5.52M |
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 | S | D | 2,300 | — | 22,794 | D | — | — | (F4) This transaction was executed in multiple trades at prices ranging from $285.16 to $285.95. 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 and prices at which the transaction was effected. |
| 2 | Common | Common Stock | 2023-08-03 | S | D | 4,112 | — | 18,682 | D | — | — | (F5) This transaction was executed in multiple trades at prices ranging from $286.31 to $287.22. 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 and prices at which the transaction was effected. |
| 3 | Common | Common Stock | 2023-08-03 | S | D | 16,610 | — | 25,094 | D | — | — | (F3) This transaction was executed in multiple trades at prices ranging from $284.15 to $285.05. 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 and prices at which the transaction was effected. |
| 4 | Common | Common Stock | 2023-08-03 | M | A | 23,736 | $127.60 | 41,704 | D | — | — | |
| 5 | Common | Common Stock | 2023-08-03 | S | D | 10,120 | — | 17,968 | D | — | — | (F2) This transaction was executed in multiple trades at prices ranging from $283.54 to $284.15. 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 and prices at which the transaction was effected. |
| 6 | Common | Common Stock | 2023-08-03 | S | D | 7,892 | — | 28,088 | D | — | — | (F1) This transaction was executed in multiple trades at prices ranging from $282.54 to $283.53. 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 and prices at which the transaction was effected. |
| 7 | Common | Common Stock | 2023-08-03 | M | A | 18,012 | $138.35 | 35,980 | D | — | — | |
| 8 | Common | Common Stock | 2023-08-03 | S | D | 714 | — | 17,968 | D | — | — | (F6) This transaction was executed in multiple trades at prices ranging from $287.57 to $287.79. 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 and prices at which the transaction was effected. |
| 9 | Derivative | Employee Stock Options | 2023-08-03 | M | D | 23,736 | $127.60 | 0 | D | $127.60 · — to 2030-03-02 | 23,736 Common Stock | (F8) 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. |
| 10 | Derivative | Employee Stock Options | 2023-08-03 | M | D | 18,012 | $138.35 | 0 | D | $138.35 · — to 2029-03-04 | 18,012 Common Stock | (F7) The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 4, 2019 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. |