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CATERPILLAR INC — Director's Dealing 2024
Nov 4, 2024
29780_dirs_2024-11-04_f18e9bcf-c329-4dcb-8feb-214cf35b2464.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: 2024-11-01
Reporting Person: Schaupp William E (Chief Accounting Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2024-11-01 | Common Stock | M | 2000 | $196.70 | Acquired | 3686 | Direct |
| 2024-11-01 | Common Stock | F | 1032 | $380.91 | Disposed | 2654 | Direct |
| 2024-11-01 | Common Stock | S | 968 | $380.98 | Disposed | 1686 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2024-11-01 | Exployee Stock Options | $196.70 | M | 2000 | Disposed | 2032-03-07 | Common Stock (2000) | Direct |
Footnotes
F1: Includes dividends accrued.
F2: This transaction was entered as multiple trades, at prices ranging from $380.94 to $381.02. The reporting person hereby 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, 2022 and vest equally in 1/3 increments in the first, second and third anniversaries of the grant date.