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CATERPILLAR INC — Director's Dealing 2024
Jan 10, 2024
29780_dirs_2024-01-10_aaeac60b-ebce-405e-9338-3204ad68fb54.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: CATERPILLAR INC (CAT)
CIK: 0000018230
Period of Report: 2024-01-01
Reporting Person: Kaiser Jason (Group President)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 1710 | Direct |
| Common Stock | 360 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Employee Stock Options | $219.76 | 2031-03-01 | Common Stock (8881) | Direct | |
| Employee Stock Options | $196.70 | 2032-03-07 | Common Stock (12091) | Direct | |
| Employee Stock Options | $253.98 | 2033-03-06 | Common Stock (7917) | Direct | |
| Phantom Stock Units | $ | Common Stock (3914) | Direct |
Footnotes
F1: The information in this report is based on a 401(k) plan statement dated as of December 31, 2023.
F2: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on 03/01/2021 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 03/07/2022 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.
F4: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on 03/06/2023 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.
F5: The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service.
F6: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock.
F7: Phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates.