Form 4 for CAT Caterpillar Inc.
Accepted 2024-11-07 00:00:00 ET · period of report 2024-11-06 · accession 0001104659-24-115375 · 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 | 2024-11-07 | 2024-11-06 | CAT | Fassino Anthony D. | Group Pres | M - OptEx | $127.60 | +8,000 | 41.4K | +24% | +$1.02M |
| D | 2024-11-07 | 2024-11-06 | CAT | Fassino Anthony D. | Group Pres | S - Sale+OE | $409.84 | -5,509 | 33.4K | -14% | -$2.26M |
| D | 2024-11-07 | 2024-11-06 | CAT | Fassino Anthony D. | Group Pres | F - Tax | $409.72 | -2,491 | 39.0K | -6% | -$1.02M |
| D | 2024-11-07 | 2024-11-06 | CAT | Fassino Anthony D. | Group Pres | M - OptEx | $127.60 | -8,000 | 9,133 | -47% | -$1.02M |
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 | 2024-11-06 | M | A | 8,000 | $127.60 | 41,422 | D | — | — | |
| 2 | Common | Common Stock | 2024-11-06 | S | D | 5,509 | $409.84 | 33,442 | D | — | — | (F1) This transaction was executed in multiple trades at prices ranging from $409.73 to $409.91. 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. |
| 3 | Common | Common Stock | 2024-11-06 | F | D | 2,491 | $409.72 | 38,951 | D | — | — | |
| 4 | Derivative | Employee Stock Options | 2024-11-06 | M | D | 8,000 | $127.60 | 9,133 | D | $127.60 · — to 2030-03-02 | 8,000 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 in the first, second and third anniversaries of the grant date. |