Filing Details
- Accession Number:
- 0001104659-24-026998
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2024-02-23 15:47:22
- Reporting Period:
- 2024-02-22
- Accepted Time:
- 2024-02-23 15:47:22
- 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 | 2024-02-22 | 7,880 | $138.35 | 38,269 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2024-02-22 | 3,386 | $321.95 | 34,883 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2024-02-22 | 4,494 | $321.96 | 30,389 | 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 |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Options | Disposition | 2024-02-22 | 7,880 | $138.35 | 7,880 | $138.35 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 7,881 | 2029-03-04 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 1,425 | Indirect | Held by 401(k) Plan |
Footnotes
- Includes adjustments for dividends accrued.
- The information in this report is based on a 401(k) plan statement dated as of January 31, 2024.
- 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.
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