Long Suzette M 4
4 · CATERPILLAR INC · Filed Mar 21, 2022
Insider Transaction Report
Form 4
Long Suzette M
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 totalExercise: $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 totalExercise: $138.35Exp: 2029-03-04→ Common Stock (16,011 underlying)
Holdings
- 37(indirect: By 401(k))
Common Stock
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.