Filing Details

Accession Number:
0001104659-24-024881
Form Type:
4
Zero Holdings:
No
Publication Time:
2024-02-16 15:53:55
Reporting Period:
2024-02-15
Accepted Time:
2024-02-16 15:53:55
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 2024-02-15 14,073 $151.12 44,434 No 4 M Direct
Common Stock Disposition 2024-02-15 6,604 $322.00 37,830 No 4 F Direct
Common Stock Disposition 2024-02-15 7,469 $322.00 30,361 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 2024-02-15 14,073 $151.12 14,073 $151.12
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
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 1,425 Indirect Held by 401(k) Plan
Footnotes
  1. The information in this report is based on a 401(k) plan statement dated as of January 31, 2024.
  2. 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.