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CATERPILLAR INC — Director's Dealing 2023
Aug 5, 2023
29780_dirs_2023-08-04_8b21607c-b0da-4779-9760-3120a238a468.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: 2023-08-03
Reporting Person: Creed Joseph E (Group President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2023-08-03 | Common Stock | S | 3037 | $284.84 | Disposed | 0 | Direct |
| 2023-08-03 | Common Stock | M | 7698 | $127.60 | Acquired | 7698 | Direct |
| 2023-08-03 | Common Stock | F | 3449 | $284.78 | Disposed | 4249 | Direct |
| 2023-08-03 | Common Stock | S | 4249 | $285.55 | Disposed | 0 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2023-08-03 | Employee Stock Options | $127.60 | M | 7698 | Disposed | 2030-03-02 | Common Stock (7698) | Direct |
Footnotes
F1: This transaction was executed in multiple trades at prices ranging from $285.45 to $285.59. 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 at whch the transaction was effected.
F2: 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.