Filing Details
- Accession Number:
- 0000018230-19-000283
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-11-05 15:10:27
- Reporting Period:
- 2019-11-01
- Accepted Time:
- 2019-11-05 15:10:27
- 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
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2019-11-01 | 68,993 | $95.66 | 80,680 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2019-11-01 | 34,497 | $142.01 | 46,183 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2019-11-01 | 34,496 | $144.00 | 11,687 | 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 |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Common Stock | Disposition | 2019-11-01 | 68,993 | $95.66 | 68,993 | $95.66 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 34,496 | 2027-03-06 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 4,287 | Indirect | Held by 401(k) Plan |
| Common Stock | 936 | Indirect | Held by Jerry Johnson Trust |
Footnotes
- The information in this report is based on a 401(k) plan statement dated as of 10/31/2019.
- 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 each of the first, second and third anniversaries of the grant date.
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