Form 4 for CAT Caterpillar Inc.
Accepted 2024-02-08 00:00:00 ET · period of report 2024-02-07 · accession 0001104659-24-012249 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2024-02-08 | 2024-02-07 | CAT | De Lange Bob | Group Pres | S - Sale+OE | $325.52 | -21.2K | 61.1K | -26% | -$6.90M |
| D | 2024-02-08 | 2024-02-07 | CAT | De Lange Bob | Group Pres | F - Tax | $325.87 | -8,806 | 82.3K | -10% | -$2.87M |
| D | 2024-02-08 | 2024-02-07 | CAT | De Lange Bob | Group Pres | M - OptEx | $95.66 | +30.0K | 91.1K | +49% | +$2.87M |
| D | 2024-02-08 | 2024-02-07 | CAT | De Lange Bob | Group Pres | M - OptEx | $95.66 | -30.0K | 29.8K | -50% | -$2.87M |
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 | 2024-02-07 | S | D | 21,194 | $325.52 | 61,092 | D | — | — | (F1) This transaction was executed in multiple trades at prices ranging from $325.42 to $325.82. 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 | 2024-02-07 | F | D | 8,806 | $325.87 | 82,286 | D | — | — | |
| 3 | Common | Common Stock | 2024-02-07 | M | A | 30,000 | $95.66 | 91,092 | D | — | — | |
| 4 | Derivative | Employee Stock Options | 2024-02-07 | M | D | 30,000 | $95.66 | 29,834 | D | $95.66 · — to 2027-03-06 | 30,000 Common Stock | (F2) 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. |