Form 4 for CAT Caterpillar Inc.
Accepted 2023-08-07 00:00:00 ET · period of report 2023-08-04 · accession 0001104659-23-088300 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| MI | 2023-08-07 | 2023-08-04 | CAT | Umpleby III Donald J | CEO, Dir | G - Gift | $0.00 | 0 | 0 | New | $0 |
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 | 2023-08-04 | G | A | 5,114 | $0.00 | 27,959 | I Held by Children's Irrevocable Trust | — | — | (F5) Represents 2,613 and 2,501 shares received from Grantor Retained Annuity Trusts. |
| 2 | Common | Common Stock | 2023-08-04 | G | D | 2,501 | $0.00 | 0 | I Held By Grantor Retained Annuity Trust | — | — | (F3) Gift of shares to an irrevocable trust of which a member of the reporting person's immediate family serves as trustee and of which the reporting person's descendants are beneficiaries. (F4) Reflects 13,820 shares transferred on August 3, 2023 from Grantor Retained Annuity Trust to the reporting person. |
| 3 | Common | Common Stock | 2023-08-04 | G | D | 2,613 | $0.00 | 0 | I Held by Grantor Retained Annuity Trust | — | — | (F1) Gift of shares to an irrevocable trust of which a member of the reporting person's immediate family serves as trustee and of which the reporting person's descendants are beneficiaries. (F2) Reflects 9,691 shares transferred on August 3, 2023 from Grantor Retained Annuity Trust to the reporting person. |