Filing Details
- Accession Number:
- 0001104659-23-097179
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-08-31 12:56:00
- Reporting Period:
- 2023-08-29
- Accepted Time:
- 2023-08-31 12:56:00
- 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 |
|---|---|---|---|---|---|---|---|
| 1839757 | D. Anthony Fassino | 5205 N. O'Connor Boulevard, Suite 100 Irving TX 75039 | 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 | 2023-08-29 | 2,693 | $74.77 | 18,875 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2023-08-29 | 721 | $279.00 | 18,154 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2023-08-29 | 1,972 | $279.00 | 16,182 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2023-08-29 | 1,447 | $95.66 | 17,629 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2023-08-29 | 496 | $279.00 | 17,133 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2023-08-29 | 951 | $279.00 | 16,182 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2023-08-30 | 4,141 | $95.66 | 20,323 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2023-08-30 | 1,401 | $282.57 | 18,922 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2023-08-30 | 2,740 | $282.57 | 16,182 | 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 | |
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | S | 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 Options | Acquisiton | 2023-08-29 | 2,693 | $74.77 | 2,693 | $74.77 |
| Common Stock | Employee Stock Options | Acquisiton | 2023-08-29 | 1,447 | $95.66 | 1,447 | $95.66 |
| Common Stock | Employee Stock Options | Acquisiton | 2023-08-30 | 4,141 | $95.66 | 4,141 | $95.66 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2026-03-07 | No | 4 | M | Direct | |
| 4,141 | 2027-03-06 | No | 4 | M | Direct | |
| 0 | 2027-03-06 | No | 4 | M | Direct |
Footnotes
- Includes adjustments for dividends accrued and an adjustment for previously unreported holdings of 1,150 shares.
- The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 7, 2016 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 6, 2017 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.
Billionaire Hedge Funds
