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4//SEC Filing

Long Suzette M 4

Accession 0000018230-22-000082

CIK 0000018230other

View on SEC.gov Company Profile

Filed

Mar 20, 8:00 PM ET

Accepted

Mar 21, 10:35 AM ET

Size

15.8 KB

Accession

0000018230-22-000082

Insider Transaction Report

Form 4

Period: 2022-03-17

CATERPILLAR INCCAT

General Counsel/Corporate Sec.

Transactions

Exercise/Conversion
Common Stock
2022-03-17$138.35/sh+16,011$2,215,122→ 34,192 total
Sale
Common Stock
2022-03-17$220.00/sh−16,011$3,522,420→ 18,181 total
Sale
Common Stock
2022-03-17$220.00/sh−20,529$4,516,380→ 18,181 total
Exercise/Conversion
Common Stock
2022-03-17$127.60/sh+20,529$2,619,500→ 38,710 total
Sale
Common Stock
2022-03-17$220.00/sh−3,816$839,520→ 14,365 total
Exercise/Conversion
Employee Stock Options
2022-03-17$127.60/sh+20,529$2,619,500→ 20,529 total
Exercise: $127.60Exp: 2030-03-02→ Common Stock (20,529 underlying)
Exercise/Conversion
Employee Stock Options
2022-03-17$138.35/sh+16,011$2,215,122→ 0 total
Exercise: $138.35Exp: 2029-03-04→ Common Stock (16,011 underlying)

Holdings

Common Stock
(indirect: By 401(k))
37

Footnotes (4)

[F1]This transaction was executed in multiple trades at prices ranging from $220.00 to $220.01. The price reported above reflects the weighted average sale (or purchase) 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.
[F2]The information in this report is based on a 401(k) plan statement dated as of February 28, 2022.
[F3]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.
[F4]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.

Documents

1 file

4
wf-form4_164787329453316.xmlPrimary
FORM 4

Issuer

CATERPILLAR INC

CIK 0000018230

Entity typeother

Related Parties

1

filerCIK 0001698572

Filing Metadata

Form type: 4
Filed: Mar 20, 8:00 PM ET
Accepted: Mar 21, 10:35 AM ET
Size: 15.8 KB

View on SEC.gov