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CATERPILLAR INC — Director's Dealing 2020
Nov 4, 2020
29780_dirs_2020-11-04_860cadf6-212b-4cd8-a93b-c8d89450e3a0.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: CATERPILLAR INC (CAT)
CIK: 0000018230
Period of Report: 2020-11-02
Reporting Person: Younessi Ramin (Group President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2020-11-02 | Common Stock | M | 13135 | $151.12 | Acquired | 29312 | Direct |
| 2020-11-02 | Common Stock | S | 13135 | $162.49 | Disposed | 16177 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2020-11-02 | Employee Stock Options | $151.12 | M | 13135 | Disposed | 2028-03-05 | Common Stock (13135.0) | Direct |
Footnotes
F1: This transaction was executed in multiple trades at prices ranging from $162.42 to $162.54. 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: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 5, 2018 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.