Filing Details
- Accession Number:
- 0000018230-21-000112
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-03-09 16:02:58
- Reporting Period:
- 2021-03-05
- Accepted Time:
- 2021-03-09 16:02:58
- 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 |
---|---|---|---|---|---|---|---|
1694342 | Bob Lange De | 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 | 2021-03-05 | 31,888 | $83.00 | 68,791 | No | 4 | M | Direct | |
Common Stock | Disposition | 2021-03-05 | 8,900 | $213.58 | 59,891 | No | 4 | S | Direct | |
Common Stock | Disposition | 2021-03-05 | 15,494 | $214.57 | 44,397 | No | 4 | S | Direct | |
Common Stock | Disposition | 2021-03-05 | 5,794 | $215.45 | 38,603 | No | 4 | S | Direct | |
Common Stock | Disposition | 2021-03-05 | 1,700 | $216.49 | 36,903 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | M | Direct | |
No | 4 | S | Direct | |
No | 4 | S | Direct | |
No | 4 | S | 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 | Acquisiton | 2021-03-05 | 31,888 | $83.00 | 31,888 | $83.00 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | 2025-03-02 | No | 4 | M | Direct |
Footnotes
- This transaction was executed in multiple trades at prices ranging from $213.09 to $214.08. 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.
- This transaction was executed in multiple trades at prices ranging from $214.09 to $215.08. 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.
- This transaction was executed in multiple trades at prices ranging from $215.09 to $216.08. 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.
- This transaction was executed in multiple trades at prices ranging from $216.09 to $216.82. 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.
- The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 2, 2015 and vest equally in 1/3 increments on each of the first, second and third anniversaries of the grant date.