Creed Joseph E 的 Form 4 申報
Caterpillar Inc（CAT），2026/9/1 申報
- 申報編號
- 0001104659-26-104202
- 申報時間
- 2026/9/1 12:32 ET
- 交易日
- 2026/8/28
- 申報延遲
- 4 天
- 10b5-1 計畫
- 沒有勾選
這份申報列了 16 筆非衍生性交易、1 筆衍生性交易。公開市場賣出合計 $2,621 萬。交易後 4 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 |
|---|---|
| Creed Joseph ECIK 0001739859 | 高階主管（執行長） |
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 |
|---|---|---|---|---|---|---|---|---|
| 2026/8/28 | Common Stock | M行使選擇權取得 | +44,403 | $219.76 | +$9,758,003.28 | 78,958 | 直接 | |
| 2026/8/28 | Common Stock | F扣股繳稅處分 | −12,002 | $812.98 | −$9,757,385.96 | 66,956 | 直接 | |
| 2026/8/28 | Common Stock | S賣出處分 | −480 | $800.19F2 | −$384,091.2 | 66,476 | 直接 | |
| 2026/8/28 | Common Stock | S賣出處分 | −540 | $801.10F3 | −$432,594 | 65,936 | 直接 | |
| 2026/8/28 | Common Stock | S賣出處分 | −280 | $802.10F4 | −$224,588 | 65,656 | 直接 | |
| 2026/8/28 | Common Stock | S賣出處分 | −750 | $803.39F5 | −$602,542.5 | 64,906 | 直接 | |
| 2026/8/28 | Common Stock | S賣出處分 | −520 | $803.86F6 | −$418,007.2 | 64,386 | 直接 | |
| 2026/8/28 | Common Stock | S賣出處分 | −1,351 | $805.36F7 | −$1,088,041.36 | 63,035 | 直接 | |
| 2026/8/28 | Common Stock | S賣出處分 | −3,382 | $806.31F8 | −$2,726,940.42 | 59,653 | 直接 | |
| 2026/8/28 | Common Stock | S賣出處分 | −6,135 | $807.41F9 | −$4,953,460.35 | 53,518 | 直接 | |
| 2026/8/28 | Common Stock | S賣出處分 | −2,639 | $808.20F10 | −$2,132,839.8 | 50,879 | 直接 | |
| 2026/8/28 | Common Stock | S賣出處分 | −2,137 | $809.08F11 | −$1,729,003.96 | 48,742 | 直接 | |
| 2026/8/28 | Common Stock | S賣出處分 | −3,041 | $810.31F12 | −$2,464,152.71 | 45,701 | 直接 | |
| 2026/8/28 | Common Stock | S賣出處分 | −5,035 | $811.31F13 | −$4,084,945.85 | 40,666 | 直接 | |
| 2026/8/28 | Common Stock | S賣出處分 | −1,280 | $812.09F14 | −$1,039,475.2 | 39,386 | 直接 | |
| 2026/8/28 | Common Stock | S賣出處分 | −4,831 | $813.72F15 | −$3,931,081.32 | 34,555 | 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 |
|---|---|---|---|---|---|---|---|---|
| 2026/8/28 | Common Stock | M行使選擇權處分 | −44,403 | $219.76 | −$9,758,003.28 | 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
The transaction was executed in multiple trades at prices ranging from $799.67 to $800.63. 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.
表 I 有 1 筆交易的價格引用這則附註。
- F3
The transaction was executed in multiple trades at prices ranging from $800.68 to $801.53. 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.
表 I 有 1 筆交易的價格引用這則附註。
- F4
The transaction was executed in multiple trades at prices ranging from $801.68 to $802.25. 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.
表 I 有 1 筆交易的價格引用這則附註。
- F5
The transaction was executed in multiple trades at prices ranging from $802.72 to $803.66. 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.
表 I 有 1 筆交易的價格引用這則附註。
- F6
The transaction was executed in multiple trades at prices ranging from $803.73 to $804.19. 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.
表 I 有 1 筆交易的價格引用這則附註。
- F7
The transaction was executed in multiple trades at prices ranging from $804.78 to $805.75. 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.
表 I 有 1 筆交易的價格引用這則附註。
- F8
The transaction was executed in multiple trades at prices ranging from $805.80 to $806.79. 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.
表 I 有 1 筆交易的價格引用這則附註。
- F9
The transaction was executed in multiple trades at prices ranging from $806.85 to $807.83. 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.
表 I 有 1 筆交易的價格引用這則附註。
- F10
The transaction was executed in multiple trades at prices ranging from $807.87 to $808.76. 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.
表 I 有 1 筆交易的價格引用這則附註。
- F11
The transaction was executed in multiple trades at prices ranging from $808.81 to $809.59. 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.
表 I 有 1 筆交易的價格引用這則附註。
- F12
The transaction was executed in multiple trades at prices ranging from $809.81 to $810.79. 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.
表 I 有 1 筆交易的價格引用這則附註。
- F13
The transaction was executed in multiple trades at prices ranging from $810.81 to $811.73. 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.
表 I 有 1 筆交易的價格引用這則附註。
- F14
The transaction was executed in multiple trades at prices ranging from $811.82 to $812.49. 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.
表 I 有 1 筆交易的價格引用這則附註。
- F15
The transaction was executed in multiple trades at prices ranging from $813.23 to $813.86. 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.
表 I 有 1 筆交易的價格引用這則附註。