Form 4 for CAT Caterpillar Inc.
Accepted 2024-11-08 00:00:00 ET · period of report 2024-11-07 · accession 0001104659-24-115989 · 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 | Umpleby III Donald J | COB, CEO | M - OptEx | $196.70 | +87.1K | 526.1K | +20% | +$17.12M |
| D | 2024-11-08 | 2024-11-07 | CAT | Umpleby III Donald J | COB, CEO | F - Tax | $413.02 | -59.9K | 466.3K | -11% | -$24.72M |
| D | 2024-11-08 | 2024-11-07 | CAT | Umpleby III Donald J | COB, CEO | G - Gift | $0.00 | -2,400 | 439.0K | -0.5% | $0 |
| D | 2024-11-08 | 2024-11-07 | CAT | Umpleby III Donald J | COB, CEO | M - OptEx | $196.70 | -87.1K | 43.5K | -67% | -$17.12M |
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 | 87,053 | $196.70 | 526,102 | D | — | — | |
| 2 | Common | Common Stock | 2024-11-07 | F | D | 59,851 | $413.02 | 466,251 | D | — | — | |
| 3 | Common | Common Stock | 2024-11-07 | G | D | 2,400 | $0.00 | 439,049 | D | — | — | (F1) Represents a donation of ordinary shares to The Ayco Charitable Foundation, a Donor Advised Fund. (F2) Includes dividends accrued. |
| 4 | Derivative | Employee Stock Options | 2024-11-07 | M | D | 87,053 | $196.70 | 43,526 | D | $196.70 · — to 2032-03-07 | 87,053 Common Stock | (F4) 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 on the first, second and thir anniversaries of the grant date. |