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Signature
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/s/ Nicole Puza, POA for Bob De Lange
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Issuer symbol
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CAT
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Transactions as of
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01 Aug 2023
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Transactions value $
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-$5,500,000
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Form type
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4
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Filing time
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02 Aug 2023, 19:16:25 UTC
Transactions Table
| Type |
Sym |
Class |
Transaction |
Value $ |
Shares |
Change % |
* Price $ |
Shares After |
Date |
Ownership |
Footnotes |
| transaction |
CAT |
Common Stock |
Options Exercise |
$1.91M |
+20K |
+37.26% |
$95.66 |
73.7K |
01 Aug 2023 |
Direct |
F1 |
| transaction |
CAT |
Common Stock |
Sale |
-$5.5M |
-20K |
-27.15% |
$275.00 |
53.7K |
01 Aug 2023 |
Direct |
|
Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)
| Type |
Sym |
Class |
Transaction |
Value $ |
Shares |
Change % |
* Price $ |
Shares After |
Date |
Underlying Class |
Amount |
Exercise Price |
Ownership |
Footnotes |
| transaction |
CAT |
Employee Stock Options |
Options Exercise |
-$1.91M |
-20K |
-25.05% |
$95.66 |
59.8K |
01 Aug 2023 |
Common Stock |
20K |
$95.66 |
Direct |
F2 |
* An asterisk sign (*) next to the price indicates that the price is likely invalid.
Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.
Transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).
Explanation of Responses: