Form 4 for CAT Caterpillar Inc.
Accepted 2024-02-16 00:00:00 ET · period of report 2024-02-15 · accession 0001104659-24-024881 · 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 | 2024-02-16 | 2024-02-15 | CAT | Fassino Anthony D. | Group Pres | M - OptEx | $151.12 | +14.1K | 44.4K | +46% | +$2.13M |
| D | 2024-02-16 | 2024-02-15 | CAT | Fassino Anthony D. | Group Pres | S - Sale+OE | $322.00 | -7,469 | 30.4K | -20% | -$2.41M |
| D | 2024-02-16 | 2024-02-15 | CAT | Fassino Anthony D. | Group Pres | F - Tax | $322.00 | -6,604 | 37.8K | -15% | -$2.13M |
| D | 2024-02-16 | 2024-02-15 | CAT | Fassino Anthony D. | Group Pres | M - OptEx | $151.12 | -14.1K | 0 | -100% | -$2.13M |
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 | 2024-02-15 | M | A | 14,073 | $151.12 | 44,434 | D | — | — | |
| 2 | Common | Common Stock | 2024-02-15 | S | D | 7,469 | $322.00 | 30,361 | D | — | — | |
| 3 | Common | Common Stock | 2024-02-15 | F | D | 6,604 | $322.00 | 37,830 | D | — | — | |
| 4 | Derivative | Employee Stock Options | 2024-02-15 | M | D | 14,073 | $151.12 | 0 | D | $151.12 · — to 2028-03-05 | 14,073 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. |