Form 4 for CAT Caterpillar Inc.
Accepted 2024-09-03 00:00:00 ET · period of report 2024-08-30 · accession 0001104659-24-096430 · 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 | 2024-09-03 | 2024-08-30 | CAT | Fassino Anthony D. | Group Pres | M - OptEx | $127.60 | +5,000 | 38.4K | +15% | +$638.0K |
| D | 2024-09-03 | 2024-08-30 | CAT | Fassino Anthony D. | Group Pres | F - Tax | $351.43 | -1,815 | 36.6K | -5% | -$637.8K |
| D | 2024-09-03 | 2024-08-30 | CAT | Fassino Anthony D. | Group Pres | S - Sale+OE | $351.36 | -3,185 | 33.4K | -9% | -$1.12M |
| D | 2024-09-03 | 2024-08-30 | CAT | Fassino Anthony D. | Group Pres | M - OptEx | $127.60 | -5,000 | 17.1K | -23% | -$638.0K |
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 | 2024-08-30 | M | A | 5,000 | $127.60 | 38,442 | D | — | — | (F1) Includes dividends accrued. |
| 2 | Common | Common Stock | 2024-08-30 | F | D | 1,815 | $351.43 | 36,627 | D | — | — | |
| 3 | Common | Common Stock | 2024-08-30 | S | D | 3,185 | $351.36 | 33,442 | D | — | — | |
| 4 | Derivative | Employee Stock Options | 2024-08-30 | M | D | 5,000 | $127.60 | 17,133 | D | $127.60 · — to 2030-03-02 | 5,000 Common Stock | (F3) The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 2, 2020 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. |