| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | CAT | Common Stock | Options Exercise | $2,869,800 | +30,000 | +49.1% | $95.66 | 91,092 | 07 Feb 2024 | Direct | |
| transaction | CAT | Common Stock | Tax liability | -$2,869,611 | -8,806 | -9.67% | $325.87 | 82,286 | 07 Feb 2024 | Direct | |
| transaction | CAT | Common Stock | Sale | -$6,899,070 | -21,194 | -25.8% | $325.52 | 61,092 | 07 Feb 2024 | Direct | F1 |
| 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 | -$2,869,800 | -30,000 | -50.1% | $95.66 | 29,834 | 07 Feb 2024 | Common Stock | 30,000 | $95.66 | Direct | F2 |
| Id | Content |
|---|---|
| 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. |