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CATERPILLAR INC — Director's Dealing 2023
Dec 19, 2023
29780_dirs_2023-12-19_94b89149-77d2-4269-afb4-4053d743a4b6.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: 2023-12-18
Reporting Person: Umpleby III Donald J (Director, Chairman and CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2023-12-18 | Common Stock | M | 182944 | $151.12 | Acquired | 457374 | Direct |
| 2023-12-18 | Common Stock | F | 133467 | $286.72 | Disposed | 323907 | Direct |
| 2023-12-18 | Common Stock | M | 163615 | $138.35 | Acquired | 487522 | Direct |
| 2023-12-18 | Common Stock | F | 115366 | $286.72 | Disposed | 372156 | Direct |
| 2023-12-18 | Common Stock | M | 75701 | $127.60 | Acquired | 447857 | Direct |
| 2023-12-18 | Common Stock | F | 51615 | $286.72 | Disposed | 396242 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2023-12-18 | Employee Stock Options | $151.12 | M | 182944 | Acquired | 2028-03-05 | Common Stock (182944) | Direct |
| 2023-12-18 | Employee Stock Options | $138.35 | M | 163615 | Acquired | 2029-03-04 | Common Stock (163615) | Direct |
| 2023-12-18 | Employee Stock Options | $127.60 | M | 75701 | Acquired | 2030-03-02 | Common Stock (75701) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 59000 | Indirect |
| Common Stock | 27959 | Indirect |
| Common Stock | 15712 | Indirect |
| Common Stock | 1008 | Indirect |
Footnotes
F1: The information in this report is based on a 401(k) plan statement dated as of November 30, 2023.
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.
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