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
  1. 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.
  2. 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.
  3. 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.
  4. 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.
  5. 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.