AI assistant
CATERPILLAR INC — Director's Dealing 2021
Mar 9, 2021
29780_dirs_2021-03-09_7ed2b5d8-58c3-4227-9d2c-547093ae192d.zip
Director's Dealing
Open in viewerOpens in your device viewer
SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: CATERPILLAR INC (CAT)
CIK: 0000018230
Period of Report: 2021-03-05
Reporting Person: De Lange Bob (Group President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-03-05 | Common Stock | M | 31888 | $83 | Acquired | 68791 | Direct |
| 2021-03-05 | Common Stock | S | 8900 | $213.58 | Disposed | 59891 | Direct |
| 2021-03-05 | Common Stock | S | 15494 | $214.57 | Disposed | 44397 | Direct |
| 2021-03-05 | Common Stock | S | 5794 | $215.45 | Disposed | 38603 | Direct |
| 2021-03-05 | Common Stock | S | 1700 | $216.49 | Disposed | 36903 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-03-05 | Employee Stock Option | $83.0 | M | 31888 | Acquired | 2025-03-02 | Common Stock (31888.0) | Direct |
Footnotes
F1: This transaction was executed in multiple trades at prices ranging from $213.09 to $214.08. 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.
F2: This transaction was executed in multiple trades at prices ranging from $214.09 to $215.08. 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.
F3: This transaction was executed in multiple trades at prices ranging from $215.09 to $216.08. 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.
F4: This transaction was executed in multiple trades at prices ranging from $216.09 to $216.82. 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.
F5: 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 each of the first, second and third anniversaries of the grant date.