Form 4 for CAT Caterpillar Inc.
Accepted 2024-03-05 00:00:00 ET · period of report 2024-03-01 · accession 0001104659-24-031072 · 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 | 2024-03-05 | 2024-03-04 | CAT | Owens Derek | CLO, GC | A - Grant | $0.00 | +2,510 | 4,179 | +150% | $0 |
| D | 2024-03-05 | 2024-03-01 | CAT | Owens Derek | CLO, GC | F - Tax | $335.69 | -53 | 1,669 | -3% | -$17.8K |
| D | 2024-03-05 | 2024-03-04 | CAT | Owens Derek | CLO, GC | A - Grant | $0.00 | +8,152 | 8,152 | New | $0 |
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 | 2024-03-04 | A | A | 2,510 | $0.00 | 4,179 | D | — | — | |
| 2 | Common | Common Stock | 2024-03-01 | F | D | 53 | $335.69 | 1,669 | D | — | — | (F1) Represents shared withheld from the reporting person to satisfy tax obligation arising from the vesting of restricted stock units granted March 1, 2021. (F2) Includes adjustments for dividends accrued and an adjustment for previously unreported holdings of 960 shares |
| 3 | Derivative | Employee Stock Options | 2024-03-04 | A | A | 8,152 | $0.00 | 8,152 | D | $338.65 · — to 2034-03-04 | 8,152 Common Stock | (F3) The stock options were granted pursuant to the Caterpillar Inc. 2023 Long Term Incentive Plan and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. |