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CATERPILLAR INC — Director's Dealing 2023
Jan 9, 2023
29780_dirs_2023-01-09_92dd2d2f-3c1a-4767-8c29-6750388bc12c.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: 2023-01-06
Reporting Person: Creed Joseph E (Group President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2023-01-06 | Common Stock | M | 18294 | $151.12 | Acquired | 18294 | Direct |
| 2023-01-06 | Common Stock | S | 18294 | $249.00 | Disposed | 0 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2023-01-06 | Employee Stock Options | $151.12 | M | 18294 | Disposed | 2028-03-05 | Common Stock (18294) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 10597 | Indirect |
Footnotes
F1: 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.
F2: The information in this report is based on a 401(k) plan statement dated as of December 31, 2022.
F3: 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.