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CATERPILLAR INC — Director's Dealing 2024
May 14, 2024
29780_dirs_2024-05-14_7bfff81f-d8fa-41e6-b356-7782ec77e9ba.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: 2024-05-13
Reporting Person: De Lange Bob (Group President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2024-05-13 | Common Stock | M | 717 | $74.77 | Acquired | 71488 | Direct |
| 2024-05-13 | Common Stock | F | 373 | $356.46 | Disposed | 71115 | Direct |
| 2024-05-13 | Common Stock | M | 29834 | $95.66 | Acquired | 100949 | Direct |
| 2024-05-13 | Common Stock | F | 7987 | $357.30 | Disposed | 92962 | Direct |
| 2024-05-13 | Common Stock | S | 21847 | $356.90 | Disposed | 71115 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2024-05-13 | Employee Stock Options | $74.77 | M | 717 | Disposed | 2026-03-07 | Common Stock (717) | Direct |
| 2024-05-13 | Employee Stock Options | $95.66 | M | 29834 | Disposed | 2027-03-06 | Common Stock (29834) | Direct |
Footnotes
F1: This transaction was executed in multiple trades at prices ranging from $356.75 to $357.10. 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 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.
F3: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 6, 2017 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.