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CATERPILLAR INC — Director's Dealing 2024
Nov 7, 2024
29780_dirs_2024-11-07_756fa1c9-c992-434d-bce4-09bc9e36a047.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: 2024-11-06
Reporting Person: Fassino Anthony D. (Group President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2024-11-06 | Common Stock | M | 8000 | $127.60 | Acquired | 41422 | Direct |
| 2024-11-06 | Common Stock | F | 2491 | $409.72 | Disposed | 38951 | Direct |
| 2024-11-06 | Common Stock | S | 5509 | $409.84 | Disposed | 33442 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2024-11-06 | Employee Stock Options | $127.60 | M | 8000 | Disposed | 2030-03-02 | Common Stock (8000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 1459 | Indirect |
Footnotes
F1: This transaction was executed in multiple trades at prices ranging from $409.73 to $409.91. 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 information in this report is based on a 401(k) plan statement dated as of October 31, 2024.
F3: 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 in the first, second and third anniversaries of the grant date.