Form 4 for CAT Caterpillar Inc.
Accepted 2023-08-31 00:00:00 ET · period of report 2023-08-29 · accession 0001104659-23-097179 · 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 | 2023-08-31 | 2023-08-29+ | CAT | Fassino Anthony D. | Group Pres | S - Sale+OE | $280.73 | -5,663 | 16.2K | -26% | -$1.59M |
| DM | 2023-08-31 | 2023-08-29+ | CAT | Fassino Anthony D. | Group Pres | F - Tax | $280.91 | -2,618 | 18.2K | -13% | -$735.4K |
| DM | 2023-08-31 | 2023-08-29+ | CAT | Fassino Anthony D. | Group Pres | M - OptEx | $88.87 | -1 | 18.9K | -0.0% | -$88.87 |
| DM | 2023-08-31 | 2023-08-29+ | CAT | Fassino Anthony D. | Group Pres | M - OptEx | $88.87 | +8,281 | 0 | New | +$735.9K |
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 | 2023-08-30 | S | D | 2,740 | $282.57 | 16,182 | D | — | — | |
| 2 | Common | Common Stock | 2023-08-30 | F | D | 1,401 | $282.57 | 18,922 | D | — | — | |
| 3 | Common | Common Stock | 2023-08-30 | M | D | 4,141 | $95.66 | 20,323 | D | — | — | |
| 4 | Common | Common Stock | 2023-08-29 | S | D | 951 | $279.00 | 16,182 | D | — | — | |
| 5 | Common | Common Stock | 2023-08-29 | F | D | 496 | $279.00 | 17,133 | D | — | — | |
| 6 | Common | Common Stock | 2023-08-29 | M | A | 1,447 | $95.66 | 17,629 | D | — | — | |
| 7 | Common | Common Stock | 2023-08-29 | S | D | 1,972 | $279.00 | 16,182 | D | — | — | |
| 8 | Common | Common Stock | 2023-08-29 | F | D | 721 | $279.00 | 18,154 | D | — | — | |
| 9 | Common | Common Stock | 2023-08-29 | M | A | 2,693 | $74.77 | 18,875 | D | — | — | (F1) Includes adjustments for dividends accrued and an adjustment for previously unreported holdings of 1,150 shares. |
| 10 | Derivative | Employee Stock Options | 2023-08-29 | M | A | 2,693 | $74.77 | 0 | D | $74.77 · — to 2026-03-07 | 2,693 Common Stock | (F2) The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 7, 2016 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. |
| 11 | Derivative | Employee Stock Options | 2023-08-29 | M | A | 1,447 | $95.66 | 4,141 | D | $95.66 · — to 2027-03-06 | 1,447 Common Stock | (F3) The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 6, 2017 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. |
| 12 | Derivative | Employee Stock Options | 2023-08-30 | M | A | 4,141 | $95.66 | 0 | D | $95.66 · — to 2027-03-06 | 4,141 Common Stock | (F3) The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 6, 2017 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. |