Filing Details

Accession Number:
0001104659-22-130462
Form Type:
4
Zero Holdings:
No
Publication Time:
2022-12-28 13:43:15
Reporting Period:
2022-12-27
Accepted Time:
2022-12-28 13:43:15
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 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 2022-12-27 23,737 $127.60 32,342 No 4 M Direct
Common Stock Disposition 2022-12-27 23,737 $240.14 8,605 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
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 2022-12-27 23,737 $127.60 23,737 $127.60
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
23,736 2030-03-02 No 4 M Direct
Footnotes
  1. This transaction was executed as multiple trades, all executed at the price reported above. The reporting person herby undertakes to provide upon request of the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares at which the transaction was effected.
  2. 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.