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Home > Insider Trading > Filing (0000018230-20-000241)

Filing Details

Accession Number:: 0000018230-20-000241
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2020-09-09 18:59:57
Reporting Period:: 2020-09-08

Accepted Time:: 2020-09-09 18:59:57
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
18230	Caterpillar Inc	CAT	Construction Machinery & Equip (3531)	370602744

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1608229	C Denise Johnson	510 Lake Cook Road, Suite 100 Deerfield IL 60015	Group President	No	Yes	No	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2020-09-08	34,496	$95.66	53,214	No	4	M	Direct
Common Stock	Disposition	2020-09-08	22,269	$148.18	30,945	No	4	F	Direct
Common Stock	Disposition	2020-09-08	19,549	$146.74	11,396	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	M	Direct
No	4	F	Direct
No	4	S	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Employee Stock Options	Disposition	2020-09-08	34,496	$0.00	34,496	$95.66

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0		2027-03-06	No	4	M	Direct

Footnotes

The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 6, 2017 and vest equally in 1/3 increments on each of the first, second and third anniversaries of the grant date.