Form 4 for CAT Caterpillar Inc.
Accepted 2024-11-04 00:00:00 ET · period of report 2024-11-01 · accession 0001104659-24-113834 · 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 | 2024-11-04 | 2024-11-01 | CAT | Schaupp William E | CAO | M - OptEx | $196.70 | +2,000 | 3,686 | +119% | +$393.4K |
| D | 2024-11-04 | 2024-11-01 | CAT | Schaupp William E | CAO | S - Sale+OE | $380.98 | -968 | 1,686 | -36% | -$368.8K |
| D | 2024-11-04 | 2024-11-01 | CAT | Schaupp William E | CAO | F - Tax | $380.91 | -1,032 | 2,654 | -28% | -$393.1K |
| D | 2024-11-04 | 2024-11-01 | CAT | Schaupp William E | CAO | M - OptEx | $196.70 | -2,000 | 1,095 | -65% | -$393.4K |
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 | 2024-11-01 | M | A | 2,000 | $196.70 | 3,686 | D | — | — | (F1) Includes dividends accrued. |
| 2 | Common | Common Stock | 2024-11-01 | S | D | 968 | $380.98 | 1,686 | D | — | — | (F2) This transaction was entered as multiple trades, at prices ranging from $380.94 to $381.02. The reporting person hereby undertakes to provide upon request of the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares at which the transaction was effected. |
| 3 | Common | Common Stock | 2024-11-01 | F | D | 1,032 | $380.91 | 2,654 | D | — | — | |
| 4 | Derivative | Exployee Stock Options | 2024-11-01 | M | D | 2,000 | $196.70 | 1,095 | D | $196.70 · — to 2032-03-07 | 2,000 Common Stock | (F3) 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 in the first, second and third anniversaries of the grant date. |