| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | CAT | Common Stock | Options Exercise | $393,400 | +2,000 | +119% | $196.70 | 3,686 | 01 Nov 2024 | Direct | F1 |
| transaction | CAT | Common Stock | Tax liability | $393,099 | -1,032 | -28% | $380.91 | 2,654 | 01 Nov 2024 | Direct | |
| transaction | CAT | Common Stock | Sale | $368,789 | -968 | -36% | $380.98 | 1,686 | 01 Nov 2024 | Direct | F2 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | CAT | Exployee Stock Options | Options Exercise | $393,400 | -2,000 | -65% | $196.70 | 1,095 | 01 Nov 2024 | Common Stock | 2,000 | $196.70 | Direct | F3 |
| Id | Content |
|---|---|
| F1 | Includes dividends accrued. |
| F2 | This transaction was entered as multiple trades, at prices ranging from $380.94 to $381.02. The reporting person hereby undertakes to provide upon request of the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares at which the transaction was effected. |
| F3 | The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 7, 2022 and vest equally in 1/3 increments in the first, second and third anniversaries of the grant date. |