Filing Details
- Accession Number:
- 0000018230-20-000307
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-11-10 18:48:43
- Reporting Period:
- 2020-11-09
- Accepted Time:
- 2020-11-10 18:48:43
- 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
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2020-11-09 | 37,527 | $151.12 | 48,923 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2020-11-09 | 18,013 | $138.35 | 66,936 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-11-09 | 46,646 | $175.00 | 20,290 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2020-11-09 | 8,894 | $175.00 | 11,396 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Option | Disposition | 2020-11-09 | 37,527 | $0.00 | 37,527 | $151.12 |
| Common Stock | Employee Stock Options | Disposition | 2020-11-09 | 18,013 | $0.00 | 18,013 | $138.35 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 18,763 | 2028-03-05 | No | 4 | M | Direct | |
| 36,025 | 2029-03-04 | No | 4 | M | Direct |
Footnotes
- 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 on the first, second and third anniversaries of the grant date.
- The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 4, 2019 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.
Billionaire Hedge Funds
