Form 4 for CAT Caterpillar Inc.
Accepted 2023-12-19 00:00:00 ET · period of report 2023-12-18 · accession 0001104659-23-127361 · 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 | 2023-12-19 | 2023-12-18 | CAT | Umpleby III Donald J | COB, CEO, Dir | M - OptEx | $141.96 | +422.3K | 447.9K | +1,650% | +$59.94M |
| DM | 2023-12-19 | 2023-12-18 | CAT | Umpleby III Donald J | COB, CEO, Dir | F - Tax | $286.72 | -300.4K | 372.2K | -45% | -$86.14M |
| DM | 2023-12-19 | 2023-12-18 | CAT | Umpleby III Donald J | COB, CEO, Dir | M - OptEx | $141.96 | +422.3K | 0 | New | +$59.94M |
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 | 2023-12-18 | M | A | 182,944 | $151.12 | 457,374 | D | — | — | |
| 2 | Common | Common Stock | 2023-12-18 | F | D | 51,615 | $286.72 | 396,242 | D | — | — | |
| 3 | Common | Common Stock | 2023-12-18 | F | D | 133,467 | $286.72 | 323,907 | D | — | — | |
| 4 | Common | Common Stock | 2023-12-18 | M | A | 163,615 | $138.35 | 487,522 | D | — | — | |
| 5 | Common | Common Stock | 2023-12-18 | F | D | 115,366 | $286.72 | 372,156 | D | — | — | |
| 6 | Common | Common Stock | 2023-12-18 | M | A | 75,701 | $127.60 | 447,857 | D | — | — | |
| 7 | Derivative | Employee Stock Options | 2023-12-18 | M | A | 163,615 | $138.35 | 0 | D | $138.35 · — to 2029-03-04 | 163,615 Common Stock | (F3) 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 |
| 8 | Derivative | Employee Stock Options | 2023-12-18 | M | A | 182,944 | $151.12 | 0 | D | $151.12 · — to 2028-03-05 | 182,944 Common Stock | (F2) 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. |
| 9 | Derivative | Employee Stock Options | 2023-12-18 | M | A | 75,701 | $127.60 | 0 | D | $127.60 · — to 2030-03-02 | 75,701 Common Stock | (F4) 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 |