| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | CAT | Common Stock | Options Exercise | $1,165,371 | +9,133 | +27% | $127.60 | 42,698 | 29 Nov 2024 | Direct | F1 |
| transaction | CAT | Common Stock | Tax liability | $1,165,060 | -2,854 | -6.7% | $408.22 | 39,844 | 29 Nov 2024 | Direct | |
| transaction | CAT | Common Stock | Sale | $2,565,537 | -6,279 | -16% | $408.59 | 33,565 | 29 Nov 2024 | Direct | F2 |
| holding | CAT | Common Stock | 1,459 | 29 Nov 2024 | Held by 401(k) Plan | F3 |
| 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 | $1,165,371 | -9,133 | -100% | $127.60 | 0 | 29 Nov 2024 | Common Stock | 9,133 | $127.60 | Direct | F4 |
| Id | Content |
|---|---|
| F1 | Includes dividends accrued. |
| F2 | This transaction was executed in multiple trades at prices ranging from $408.57 to $408.80. 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. |
| F3 | The information in this report is based on a 401(k) plan statement dated as of October 31, 2024. |
| F4 | 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. |