Form 4 for CAT Caterpillar Inc.
Accepted 2024-02-23 00:00:00 ET · period of report 2024-02-22 · accession 0001104659-24-026998 · 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 | 2024-02-23 | 2024-02-22 | CAT | Fassino Anthony D. | Group Pres | S - Sale+OE | $321.96 | -4,494 | 30.4K | -13% | -$1.45M |
| D | 2024-02-23 | 2024-02-22 | CAT | Fassino Anthony D. | Group Pres | F - Tax | $321.95 | -3,386 | 34.9K | -9% | -$1.09M |
| D | 2024-02-23 | 2024-02-22 | CAT | Fassino Anthony D. | Group Pres | M - OptEx | $138.35 | +7,880 | 38.3K | +26% | +$1.09M |
| D | 2024-02-23 | 2024-02-22 | CAT | Fassino Anthony D. | Group Pres | M - OptEx | $138.35 | -7,880 | 7,881 | -50% | -$1.09M |
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 | 2024-02-22 | S | D | 4,494 | $321.96 | 30,389 | D | — | — | |
| 2 | Common | Common Stock | 2024-02-22 | F | D | 3,386 | $321.95 | 34,883 | D | — | — | |
| 3 | Common | Common Stock | 2024-02-22 | M | A | 7,880 | $138.35 | 38,269 | D | — | — | (F1) Includes adjustments for dividends accrued. |
| 4 | Derivative | Employee Stock Options | 2024-02-22 | M | D | 7,880 | $138.35 | 7,881 | D | $138.35 · — to 2029-03-04 | 7,880 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. |