Form 4 for CAT Caterpillar Inc.
Accepted 2023-08-10 00:00:00 ET · period of report 2023-08-09 · accession 0001104659-23-089917 · 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 | 2023-08-10 | 2023-08-09 | CAT | Johnson Cheryl H | CHRO | S - Sale+OE | $286.33 | -18.3K | 17.8K | -51% | -$5.24M |
| D | 2023-08-10 | 2023-08-09 | CAT | Johnson Cheryl H | CHRO | M - OptEx | $151.12 | +18.3K | 34.7K | +112% | +$2.76M |
| D | 2023-08-10 | 2023-08-09 | CAT | Johnson Cheryl H | CHRO | M - OptEx | $151.12 | -18.3K | 0 | -100% | -$2.76M |
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 | 2023-08-09 | S | D | 1,400 | $287.06 | 16,362 | D | — | — | (F2) This transaction was executed in multiple trades at prices ranging from $287.00 to $287.10. 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 | 2023-08-09 | M | A | 18,294 | $151.12 | 34,656 | D | — | — | |
| 3 | Common | Common Stock | 2023-08-09 | S | D | 16,894 | $286.27 | 17,762 | D | — | — | (F1) This transaction was executed in multiple trades at prices ranging from $286.00 to $286.95. 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. |
| 4 | Derivative | Employee Stock Options | 2023-08-09 | M | D | 18,294 | $151.12 | 0 | D | $151.12 · — to 2028-03-05 | 18,294 Common Stock | (F4) The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 5, 2018 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. |