Filing Details

Accession Number:
0000018230-20-000285
Form Type:
4
Zero Holdings:
No
Publication Time:
2020-10-30 18:28:34
Reporting Period:
2020-10-29
Accepted Time:
2020-10-30 18:28:34
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
1768626 Michael Gary Marvel 510 Lake Cook Road
Suite 100
Deerfield 60015
Chief Accounting Officer 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 2020-10-29 2,180 $89.75 2,180 No 4 M Direct
Common Stock Disposition 2020-10-29 2,180 $154.39 0 No 4 S Direct
Common Stock Acquisiton 2020-10-29 4,318 $96.31 4,318 No 4 M Direct
Common Stock Disposition 2020-10-29 4,318 $154.39 0 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
No 4 M 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 2020-10-29 2,180 $89.75 2,180 $89.75
Common Stock Employee Stock Options Disposition 2020-10-29 4,318 $96.31 4,318 $96.31
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2016-03-04 2023-03-04 No 4 M Direct
0 2017-03-03 2024-03-03 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 1,595 Indirect Held by 401(k) Plan
Footnotes
  1. The information in this report is based on a 401(k) plan statement dated as of September 30, 2020.