Form 4 for CAT Caterpillar Inc.
Accepted 2024-11-08 00:00:00 ET · period of report 2024-11-07 · accession 0001104659-24-115984 · 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 | 2024-11-08 | 2024-11-07 | CAT | De Lange Bob | Group Pres | M - OptEx | $151.12 | +20.0K | 91.1K | +28% | +$3.02M |
| DM | 2024-11-08 | 2024-11-07 | CAT | De Lange Bob | Group Pres | S - Sale+OE | $410.25 | -12.7K | 71.1K | -15% | -$5.19M |
| D | 2024-11-08 | 2024-11-07 | CAT | De Lange Bob | Group Pres | F - Tax | $411.58 | -7,343 | 83.8K | -8% | -$3.02M |
| D | 2024-11-08 | 2024-11-07 | CAT | De Lange Bob | Group Pres | M - OptEx | $151.12 | -20.0K | 40.5K | -33% | -$3.02M |
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 | 2024-11-07 | M | A | 20,000 | $151.12 | 91,107 | D | — | — | (F1) Includes dividends accrued. |
| 2 | Common | Common Stock | 2024-11-07 | S | D | 5,329 | $408.82 | 78,435 | D | — | — | (F2) This transaction was executed in multiple trades at prices ranging from $408.45 to $409.45. 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 | 2024-11-07 | S | D | 4,830 | $411.13 | 73,605 | D | — | — | (F3) This transaction was executed in multiple trades at prices ranging from $410.42 to $411.42. 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. |
| 4 | Common | Common Stock | 2024-11-07 | S | D | 2,498 | $411.61 | 71,107 | D | — | — | (F4) This transaction was executed in multiple trades at prices ranging from $411.44 to $412.03. 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. |
| 5 | Common | Common Stock | 2024-11-07 | F | D | 7,343 | $411.58 | 83,764 | D | — | — | |
| 6 | Derivative | Employee Stock Options | 2024-11-07 | M | D | 20,000 | $151.12 | 40,512 | D | $151.12 · — to 2028-03-05 | 20,000 Common Stock | (F5) The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 5, 2018 and vest equally in 1/3 increments in the first, second and third anniversaries of the grant date. |