4//SEC Filing
Ainsworth William P 4
Accession 0000018230-20-000220
CIK 0000018230other
Filed
Aug 5, 8:00 PM ET
Accepted
Aug 6, 6:40 PM ET
Size
16.2 KB
Accession
0000018230-20-000220
Insider Transaction Report
Form 4
Ainsworth William P
Group President
Transactions
- Tax Payment
Common Stock
2020-08-05$135.00/sh−93,434$12,613,590→ 82,089 total - Exercise/Conversion
Employee Stock Options
2020-08-05−15,199→ 0 totalExercise: $83.00Exp: 2025-03-02→ Common Stock (15,199 underlying) - Exercise/Conversion
Employee Stock Options
2020-08-05−30,964→ 0 totalExercise: $74.77Exp: 2026-03-07→ Common Stock (30,964 underlying) - Exercise/Conversion
Employee Stock Options
2020-08-05−69,486→ 0 totalExercise: $95.66Exp: 2027-03-06→ Common Stock (69,486 underlying) - Exercise/Conversion
Common Stock
2020-08-05$83.00/sh+15,199$1,261,517→ 75,073 total - Exercise/Conversion
Common Stock
2020-08-05$74.77/sh+30,964$2,315,178→ 106,037 total - Exercise/Conversion
Common Stock
2020-08-05$95.66/sh+69,486$6,647,031→ 175,523 total
Holdings
- 4,338(indirect: By 401(k))
Common Stock
Footnotes (4)
- [F1]The information in this report is based on a 401(k) plan statement dated as of July 31, 2020.
- [F2]The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 2, 2015 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.
- [F3]The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 7, 2016 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.
- [F4]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 the first, second and third anniversaries of the grant date.
Documents
Issuer
CATERPILLAR INC
CIK 0000018230
Entity typeother
Related Parties
1- filerCIK 0001768624
Filing Metadata
- Form type
- 4
- Filed
- Aug 5, 8:00 PM ET
- Accepted
- Aug 6, 6:40 PM ET
- Size
- 16.2 KB