Kaiser Jason 的 Form 4 申報
Caterpillar Inc（CAT），2025/11/13 申報
- 申報編號
- 0001104659-25-111091
- 申報時間
- 2025/11/13
- 交易日
- 2025/11/11
- 申報延遲
- 2 天
- 10b5-1 計畫
- 有勾選
這份申報列了 17 筆非衍生性交易、2 筆衍生性交易。公開市場賣出合計 $603.4 萬。交易後 2 天申報。
申報人
一份 Form 4 可以有好幾位申報人，例如本人與他控制的基金。各交易表上顯示的是第一位。
| 申報人 | 與公司的關係 |
|---|---|
| Kaiser JasonCIK 0002005183 | 高階主管（事業群總裁） |
非衍生性證券（表 I）
普通股等股票的取得與處分，每一列是申報上的一筆。
| 交易日 | 證券 | 交易 | 股數 | 價格 | 金額 | 交易後持股 | 持有方式 | 旗標 |
|---|---|---|---|---|---|---|---|---|
| 2025/11/11 | Common Stock | M行使選擇權取得 | +8,881 | $219.76 | +$1,951,688.56 | 17,530 | 直接 | |
| 2025/11/11 | Common Stock | F扣股繳稅處分 | −3,418 | $570.85 | −$1,951,165.3 | 14,112 | 直接 | |
| 2025/11/11 | Common Stock | S賣出處分 | −1,040 | $561.29F2 | −$583,741.6 | 13,072 | 直接 | |
| 2025/11/11 | Common Stock | S賣出處分 | −1,413 | $562.27F3 | −$794,487.51 | 11,659 | 直接 | |
| 2025/11/11 | Common Stock | S賣出處分 | −1,640 | $563.22F4 | −$923,680.8 | 10,019 | 直接 | |
| 2025/11/11 | Common Stock | S賣出處分 | −280 | $563.88F5 | −$157,886.4 | 9,739 | 直接 | |
| 2025/11/11 | Common Stock | S賣出處分 | −37 | $565.06F6 | −$20,907.22 | 9,702 | 直接 | |
| 2025/11/11 | Common Stock | S賣出處分 | −400 | $567.26F7 | −$226,904 | 9,302 | 直接 | |
| 2025/11/11 | Common Stock | S賣出處分 | −653 | $568.60F8 | −$371,295.8 | 8,649 | 直接 | |
| 2025/11/11 | Common Stock | M行使選擇權取得 | +8,000 | $196.70 | +$1,573,600 | 16,649 | 直接 | |
| 2025/11/11 | Common Stock | F扣股繳稅處分 | −2,756 | $570.85 | −$1,573,262.6 | 13,893 | 直接 | |
| 2025/11/11 | Common Stock | S賣出處分 | −1,032 | $561.29F9 | −$579,251.28 | 12,861 | 直接 | |
| 2025/11/11 | Common Stock | S賣出處分 | −1,260 | $562.15F10 | −$708,309 | 11,601 | 直接 | |
| 2025/11/11 | Common Stock | S賣出處分 | −1,480 | $563.22F11 | −$833,565.6 | 10,121 | 直接 | |
| 2025/11/11 | Common Stock | S賣出處分 | −460 | $564.09F12 | −$259,481.4 | 9,661 | 直接 | |
| 2025/11/11 | Common Stock | S賣出處分 | −380 | $567.35F13 | −$215,593 | 9,281 | 直接 | |
| 2025/11/11 | Common Stock | S賣出處分 | −632 | $568.65F14 | −$359,386.8 | 8,649 | 直接 |
衍生性證券（表 II）
選擇權、認股權證、限制型股票單位等。股數是標的股票的股數；單價與金額是衍生證券本身的價格，交易後持有是衍生證券的單位數。
| 交易日 | 證券 | 交易 | 標的股數 | 單價 | 金額 | 交易後持有 | 持有方式 | 旗標 |
|---|---|---|---|---|---|---|---|---|
| 2025/11/11 | Common Stock | M行使選擇權處分 | −8,881 | $219.76 | −$1,951,688.56 | 0 | 直接 | |
| 2025/11/11 | Common Stock | M行使選擇權處分 | −8,000 | $196.70 | −$1,573,600 | 0 | 直接 |
附註與備註
本站收錄交易價格引用的附註、修正申報（Form 4/A）的全部附註，以及申報的備註。其他附註，例如間接持有的方式、交易計畫的細節，請看 SEC EDGAR 上的原文。
- F2
This transaction was entered as multiple trades, as prices ranging from $560.79 to $561.73. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of 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.
表 I 有 1 筆交易的價格引用這則附註。
- F3
This transaction was entered as multiple trades, as prices ranging from $561.77 to $562.76. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of 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.
表 I 有 1 筆交易的價格引用這則附註。
- F4
This transaction was entered as multiple trades, as prices ranging from $562.81 to $563.79. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of 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.
表 I 有 1 筆交易的價格引用這則附註。
- F5
This transaction was entered as multiple trades, as prices ranging from $563.87 to $563.79. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of 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.
表 I 有 1 筆交易的價格引用這則附註。
- F6
This transaction was entered as multiple trades at $565.06. The reporting person hereby undertakes to provide upon request of 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.
表 I 有 1 筆交易的價格引用這則附註。
- F7
This transaction was entered as multiple trades, as prices ranging from $566.87 to $567.71. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of 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.
表 I 有 1 筆交易的價格引用這則附註。
- F8
This transaction was entered as multiple trades, as prices ranging from $568.07 to $568.72. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of 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.
表 I 有 1 筆交易的價格引用這則附註。
- F9
This transaction was entered as multiple trades, as prices ranging from $560.79 to $561.73. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of 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.
表 I 有 1 筆交易的價格引用這則附註。
- F10
This transaction was entered as multiple trades, as prices ranging from $561.77 to $562.70. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of 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.
表 I 有 1 筆交易的價格引用這則附註。
- F11
This transaction was entered as multiple trades, as prices ranging from $562.81 to $563.65. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of 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.
表 I 有 1 筆交易的價格引用這則附註。
- F12
This transaction was entered as multiple trades, as prices ranging from $563.70 to $564.50. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of 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.
表 I 有 1 筆交易的價格引用這則附註。
- F13
This transaction was entered as multiple trades, as prices ranging from $566.87 to $567.71. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of 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.
表 I 有 1 筆交易的價格引用這則附註。
- F14
This transaction was entered as multiple trades, as prices ranging from $568.03 to $569.41. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of 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.
表 I 有 1 筆交易的價格引用這則附註。