Form 4 for CAT Caterpillar Inc.
Accepted 2024-05-14 00:00:00 ET · period of report 2024-05-13 · accession 0001104659-24-061054 · 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 | 2024-05-14 | 2024-05-13 | CAT | De Lange Bob | Group Pres | S - Sale+OE | $356.90 | -21.8K | 71.1K | -24% | -$7.80M |
| DM | 2024-05-14 | 2024-05-13 | CAT | De Lange Bob | Group Pres | M - OptEx | $95.17 | +30.6K | 100.9K | +43% | +$2.91M |
| DM | 2024-05-14 | 2024-05-13 | CAT | De Lange Bob | Group Pres | F - Tax | $357.26 | -8,360 | 71.1K | -11% | -$2.99M |
| DM | 2024-05-14 | 2024-05-13 | CAT | De Lange Bob | Group Pres | M - OptEx | $95.17 | -30.6K | 0 | -100% | -$2.91M |
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 | 2024-05-13 | S | D | 21,847 | $356.90 | 71,115 | D | — | — | (F1) This transaction was executed in multiple trades at prices ranging from $356.75 to $357.10. 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 | 2024-05-13 | M | A | 717 | $74.77 | 71,488 | D | — | — | |
| 3 | Common | Common Stock | 2024-05-13 | M | A | 29,834 | $95.66 | 100,949 | D | — | — | |
| 4 | Common | Common Stock | 2024-05-13 | F | D | 7,987 | $357.30 | 92,962 | D | — | — | |
| 5 | Common | Common Stock | 2024-05-13 | F | D | 373 | $356.46 | 71,115 | D | — | — | |
| 6 | Derivative | Employee Stock Options | 2024-05-13 | M | D | 717 | $74.77 | 0 | D | $74.77 · — to 2026-03-07 | 717 Common Stock | (F2) The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 7, 2016 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. |
| 7 | Derivative | Employee Stock Options | 2024-05-13 | M | D | 29,834 | $95.66 | 0 | D | $95.66 · — to 2027-03-06 | 29,834 Common Stock | (F3) 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. |