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CATERPILLAR INC — Director's Dealing 2023
Jan 10, 2023
29780_dirs_2023-01-10_2e8475dc-7076-4d15-a90e-2b569be2aa9f.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: 2023-01-09
Reporting Person: De Lange Bob (Group President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2023-01-09 | Common Stock | M | 11000 | $74.77 | Acquired | 55559 | Direct |
| 2023-01-09 | Common Stock | S | 11000 | $250.00 | Disposed | 44559 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2023-01-09 | Employee Stock Options | $74.77 | M | 11000 | Disposed | 2026-03-07 | Common Stock (11000) | Direct |
Footnotes
F1: Includes adjustment for dividends accrued.
F2: This transaction was executed as multiple trades, all executed at the price reported above. The reporting person herby 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 at which the transaction was effected.
F3: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 7, 2016 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.