AI assistant
CATERPILLAR INC — Director's Dealing 2024
Feb 8, 2024
29780_dirs_2024-02-08_9fcb3613-a97b-4394-b20e-eec536a3d77a.zip
Director's Dealing
Open in viewerOpens in your device viewer
SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: CATERPILLAR INC (CAT)
CIK: 0000018230
Period of Report: 2024-02-07
Reporting Person: De Lange Bob (Group President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2024-02-07 | Common Stock | M | 30000 | $95.66 | Acquired | 91092 | Direct |
| 2024-02-07 | Common Stock | F | 8806 | $325.87 | Disposed | 82286 | Direct |
| 2024-02-07 | Common Stock | S | 21194 | $325.52 | Disposed | 61092 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2024-02-07 | Employee Stock Options | $95.66 | M | 30000 | Disposed | 2027-03-06 | Common Stock (30000) | Direct |
Footnotes
F1: This transaction was executed in multiple trades at prices ranging from $325.42 to $325.82. 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 6, 2017 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.