Home > Insider Trading > Filing (0000018230-21-000120)

Filing Details

Accession Number:: 0000018230-21-000120
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2021-03-10 18:05:54
Reporting Period:: 2021-03-08

Accepted Time:: 2021-03-10 18:05:54
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
Common Stock	Acquisiton	2021-03-08	18,763	$151.12	38,945	No	4	M	Direct
Common Stock	Disposition	2021-03-08	18,763	$219.85	20,182	No	4	S	Direct
Common Stock	Acquisiton	2021-03-08	18,013	$138.35	38,195	No	4	M	Direct
Common Stock	Disposition	2021-03-08	9,141	$218.88	29,054	No	4	S	Direct
Common Stock	Disposition	2021-03-08	8,872	$219.42	20,182	No	4	S	Direct
Common Stock	Acquisiton	2021-03-08	23,737	$127.60	43,919	No	4	M	Direct
Common Stock	Disposition	2021-03-08	23,737	$220.42	20,182	No	4	S	Direct
Common Stock	Disposition	2021-03-08	5,927	$218.98	14,255	No	4	S	Direct
Common Stock	Disposition	2021-03-08	10,707	$219.75	3,548	No	4	S	Direct
Common Stock	Disposition	2021-03-08	3,548	$220.69	0	No	4	S	Direct

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

Reported Derivative Transactions

Show Other Fields >>

Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Employee Stock Option	Acquisiton	2021-03-08	18,763	$151.12	18,763	$151.12
Common Stock	Employee Stock Options	Acquisiton	2021-03-08	18,013	$138.35	18,013	$138.35
Common Stock	Employee Stock Options	Acquisiton	2021-03-08	23,737	$127.60	23,737	$127.60

Remaning Holdings	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0	2028-03-05	No	4	M	Direct
18,012	2029-03-04	No	4	M	Direct
47,473	2030-03-02	No	4	M	Direct

Footnotes

This transaction was executed in multiple trades at prices ranging from $219.61 to $220.04. 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 $218.21 to $219.20. 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 $219.21 to $219.81. 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 $219.99 to $220.97. 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 $218.30 to $219.28. 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 $219.30 to $220.29 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 $220.30 to $221.18. 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 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.
The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 2, 2020 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.