Filing Details
- Accession Number:
- 0001104659-24-115375
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2024-11-07 17:05:07
- Reporting Period:
- 2024-11-06
- Accepted Time:
- 2024-11-07 17:05:07
- 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 | 2024-11-06 | 8,000 | $127.60 | 41,422 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2024-11-06 | 2,491 | $409.72 | 38,951 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2024-11-06 | 5,509 | $409.84 | 33,442 | 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 | 2024-11-06 | 8,000 | $127.60 | 8,000 | $127.60 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 9,133 | 2030-03-02 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 1,459 | Indirect | Held by 401(k) Plan |
Footnotes
- This transaction was executed in multiple trades at prices ranging from $409.73 to $409.91. 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 information in this report is based on a 401(k) plan statement dated as of October 31, 2024.
- 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 in the first, second and third anniversaries of the grant date.
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