| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | CAT | Common Stock | Options Exercise | $1,020,800 | +8,000 | +24% | $127.60 | 41,422 | 06 Nov 2024 | Direct | |
| transaction | CAT | Common Stock | Tax liability | $1,020,613 | -2,491 | -6% | $409.72 | 38,951 | 06 Nov 2024 | Direct | |
| transaction | CAT | Common Stock | Sale | $2,257,809 | -5,509 | -14% | $409.84 | 33,442 | 06 Nov 2024 | Direct | F1 |
| holding | CAT | Common Stock | 1,459 | 06 Nov 2024 | Held by 401(k) Plan | F2 |
| 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 | $1,020,800 | -8,000 | -47% | $127.60 | 9,133 | 06 Nov 2024 | Common Stock | 8,000 | $127.60 | Direct | F3 |
| Id | Content |
|---|---|
| F1 | This transaction was executed in multiple trades at prices ranging from $409.73 to $409.91. 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 information in this report is based on a 401(k) plan statement dated as of October 31, 2024. |
| F3 | The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 2, 2020 and vest equally in 1/3 increments in the first, second and third anniversaries of the grant date. |