Key facts
- This page summarizes Suzette M. Long's Form 4 filing for CATERPILLAR INC (CAT).
- 3 reported transactions and 1 derivative row are listed below.
- Accepted by SEC: 09 Jun 2023, 06:00.
Suzette M. Long - 07 Jun 2023 Form 4 Insider Report for CATERPILLAR INC (CAT)
- Reporting relationship
- CLO/General Counsel
- Issuer ticker
- CAT
- Reported as of
- 07 Jun 2023
- Net transaction value
- -$3,565,798
- SEC form
- 4
- Accepted by SEC
- 09 Jun 2023, 06:00:37 UTC
- Prior SEC filing
- 08 Mar 2023
- Source filing
- View source filing
- Reporting owner signature
- /s/ Nicole Puza, POA for Suzette M. Long
Source evidence
Original filing metadata and source links for verification.
4 source fields
Reporting owner
1 detail
Key filing fact
Suzette M. Long filed Form 4 for CATERPILLAR INC (CAT) on 09 Jun 2023.
Change
- Previous filing in this sequence was filed on 08 Mar 2023.
- Current net transaction value: -$3,565,798.
Research use
- This tells you what this filing adds before you inspect full transaction and derivative tables.
- You can trace every row back to the original SEC filing document.
Evidence
Filed on Form 4
View source filing
Ownership activity is grounded in SEC Form 4 disclosures.
Reported non-derivative transactions
Shares, units, or other non-derivative securities reported in this filing.
CAT
transaction
Common Stock
Options Exercise
- Transaction value
- $2,619,500
- Shares
- +20,529
- Change %
- +234%
- Price
- $127.60
- Shares after
- 29,305
- Date
- 07 Jun 2023
- Ownership
- Direct
CAT
transaction
Common Stock
Tax liability
- Transaction value
- $3,565,798
- Shares
- -15,415
- Change %
- -53%
- Price
- $231.32
- Shares after
- 13,890
- Date
- 07 Jun 2023
- Ownership
- Direct
CAT
holding
Common Stock
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 86
- Date
- 07 Jun 2023
- Ownership
- Held by 401(k) Plan
- Footnotes
- F2
Reported derivative securities
Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.
CAT
transaction
Derivative
Employee Stock Options
Options Exercise
- Transaction value
- $2,619,500
- Shares
- -20,529
- Change %
- -100%
- Price
- $127.60
- Shares after
- 0
- Date
- 07 Jun 2023
- Ownership
- Direct
- Underlying class
- Common Stock
- Underlying amount
- 20,529
- Exercise price
- $127.60
- Footnotes
- F1
* marks a reported price that did not pass the local price check.
Additional SEC filing notes
Filing notes and footnotes
Explanation of responses 2 footnotes
Footnote F1
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 anniversary of the grant date.
Footnote F2
The information in this report is based on a 401(k) plan statement dated as of May 31, 2023.