| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | CAT | Common Stock | Award | $0 | +42.3K | +32.04% | $0.00 | 174K | Jul 6, 2021 | Direct | F1, F2 |
| transaction | CAT | Common Stock | Tax liability | -$3.61M | -18K | -10.32% | $200.77 | 156K | Feb 8, 2022 | Direct | F3 |
| transaction | CAT | Common Stock | Gift | $0 | -1.52K | -100% | $0.00* | 0 | Dec 1, 2021 | Held by Grantor Retained Annuity | F4 |
| holding | CAT | Common Stock | 21.8K | Jul 6, 2021 | Held by Grantor Retained Annuity | ||||||
| holding | CAT | Common Stock | 15.8K | Jul 6, 2021 | Held by Grantor Retained Annuity | ||||||
| holding | CAT | Common Stock | 59K | Jul 6, 2021 | Held by irrevocable trust for descendants | ||||||
| holding | CAT | Common Stock | 33K | Jul 6, 2021 | Held by Grantor Retained Annuity | ||||||
| holding | CAT | Common Stock | 24K | Jul 6, 2021 | Held by Grantor Retained Annuity | ||||||
| holding | CAT | Common Stock | 1.52K | Jul 6, 2021 | Held by Children's Irrevocable Trust | ||||||
| holding | CAT | Common Stock | 971 | Jul 6, 2021 | Held by 401(k) Plan | F5 |
| Id | Content |
|---|---|
| F1 | Represents 33,000 shares transferred on July 6, 2021 and 24,000 shares transferred on August 3, 2021 to Grantor Retained Annuity Trusts. |
| F2 | Represents 6,411 shares received on August 10, 2021 and 2,875 shares received on December 1, 2021 from Grantor Retained Annuity Trusts. |
| F3 | Represents shares withheld from the reporting person to satisfy tax obligations arising from the vesting of performance - based restricted stock units granted on March 4, 2019. |
| F4 | Gift of shares to an irrevocable trust of which a member of the reporting person's immediate family serves as trustee end of which the reporting person's decendants are beneficiaries. |
| F5 | The information in this report is based on a 401(k) plan statement dated as of January 31, 2022. |