Filing Details
- Accession Number:
- 0000018230-21-000121
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-03-10 18:06:22
- Reporting Period:
- 2021-03-08
- Accepted Time:
- 2021-03-10 18:06:22
- 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 |
|---|---|---|---|---|---|---|---|
| 1698572 | M Suzette Long | 510 Lake Cook Road, Suite 100 Deerfield IL 60015 | Clo/General Counsel | 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 | 2021-03-08 | 15,480 | $151.12 | 33,320 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-03-08 | 4,044 | $218.92 | 29,276 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-03-08 | 8,516 | $219.69 | 20,760 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-03-08 | 2,920 | $220.68 | 17,840 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2021-03-08 | 16,011 | $138.35 | 33,851 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-03-08 | 4,561 | $218.91 | 29,290 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-03-08 | 8,346 | $219.74 | 20,944 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-03-08 | 3,104 | $220.66 | 17,840 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2021-03-08 | 20,529 | $127.60 | 38,369 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-03-08 | 8,140 | $219.03 | 30,229 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-03-08 | 9,704 | $219.84 | 20,525 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-03-08 | 2,685 | $220.80 | 17,840 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-03-08 | 2,469 | $218.81 | 15,371 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-03-08 | 3,050 | $219.69 | 12,321 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-03-08 | 1,772 | $220.84 | 10,549 | 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 | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | 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 | Employee Stock Option | Acquisiton | 2021-03-08 | 15,480 | $151.12 | 15,480 | $151.12 |
| Common Stock | Employee Stock Options | Acquisiton | 2021-03-08 | 16,011 | $138.35 | 16,011 | $138.35 |
| Common Stock | Employee Stock Options | Acquisiton | 2021-03-08 | 20,529 | $127.60 | 20,529 | $127.60 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2028-03-05 | No | 4 | M | Direct | |
| 16,011 | 2029-03-04 | No | 4 | M | Direct | |
| 41,058 | 2030-03-02 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 9 | Indirect | Held by 401(k) Plan |
Footnotes
- This transaction was executed in multiple trades at prices ranging from $218.27 to $219.26. 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.
- This transaction was executed in multiple trades at prices ranging from $219.27 to $220.17. 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.
- This transaction was executed in multiple trades at prices ranging from $220.27 to $221.26. 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.
- This transaction was executed in multiple trades at prices ranging from $220.27 to $220.97. 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.
- This transaction was executed in multiple trades at prices ranging from $218.37 to $219.33. 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.
- This transaction was executed in multiple trades at prices ranging from $219.37 to $220.33. 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.
- This transaction was executed in multiple trades at prices ranging from $220.37 to $220.97. 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.
- This transaction was executed in multiple trades at prices ranging from $218.21 to $219.16. 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.
- This transaction was executed in multiple trades at prices ranging from $219.21 to $220.19. 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.
- This transaction was executed in multiple trades at prices ranging from $220.21 to $220.97. 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 February 28, 2021.
- The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 5, 2018 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 4, 2019 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 2, 2020 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.
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