Form 4 for CAT Caterpillar Inc.
Accepted 2024-03-08 00:00:00 ET · period of report 2024-03-07 · accession 0001104659-24-032271 · 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 | 2024-03-08 | 2024-03-07 | CAT | BONFIELD ANDREW R J | CFO | M - OptEx | $208.70 | +29.6K | 75.8K | +64% | +$6.17M |
| DM | 2024-03-08 | 2024-03-07 | CAT | BONFIELD ANDREW R J | CFO | F - Tax | $340.39 | -22.8K | 65.1K | -26% | -$7.74M |
| DM | 2024-03-08 | 2024-03-07 | CAT | BONFIELD ANDREW R J | CFO | M - OptEx | $208.70 | -29.6K | 14.2K | -68% | -$6.17M |
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 | 2024-03-07 | M | A | 15,393 | $219.76 | 73,707 | D | — | — | |
| 2 | Common | Common Stock | 2024-03-07 | F | D | 12,138 | $340.39 | 61,569 | D | — | — | |
| 3 | Common | Common Stock | 2024-03-07 | F | D | 10,613 | $340.39 | 65,142 | D | — | — | |
| 4 | Common | Common Stock | 2024-03-07 | M | A | 14,186 | $196.70 | 75,755 | D | — | — | |
| 5 | Derivative | Employee Stock Options | 2024-03-07 | M | D | 15,393 | $219.76 | 0 | D | $219.76 · — to 2031-03-01 | 15,393 Common Stock | (F1) The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 1, 2021 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. |
| 6 | Derivative | Employee Stock Options | 2024-03-07 | M | D | 14,186 | $196.70 | 14,186 | D | $196.70 · — to 2032-03-07 | 14,186 Common Stock | (F2) The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 7, 2022 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date |