Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
---|---|---|---|---|---|---|---|---|---|---|---|
transaction | CAT | Common Stock | Options Exercise | $19.3M | +151K | +85.74% | $127.60 | 328K | Nov 8, 2022 | Direct | F1, F2 |
transaction | CAT | Common Stock | Tax liability | -$26.2M | -114K | -34.74% | $229.65 | 214K | Nov 8, 2022 | Direct | |
transaction | CAT | Common Stock | Gift | $0 | -13.8K | -100% | $0.00* | 0 | May 26, 2022 | Held by Grantor Retained Annuity | F3 |
transaction | CAT | Common Stock | Gift | $0 | -7.49K | -100% | $0.00* | 0 | Aug 18, 2022 | Held by Grantor Retained Annuity | F3 |
holding | CAT | Common Stock | 59K | May 26, 2022 | Held by irrevocable trust for descendants | ||||||
holding | CAT | Common Stock | 16.3K | May 26, 2022 | Held by Grantor Retained Annuity | ||||||
holding | CAT | Common Stock | 12.3K | May 26, 2022 | Held by Grantor Retained Annuity | ||||||
holding | CAT | Common Stock | 22.8K | May 26, 2022 | Held by Children's Irrevocable Trust | F4 | |||||
holding | CAT | Common Stock | 24.3K | May 26, 2022 | Held by Grantor Retained Annuity | ||||||
holding | CAT | Common Stock | 988 | May 26, 2022 | Held by 401(k) Plan | F5 |
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 | $0 | -151K | -66.67% | $0.00 | 75.7K | Nov 8, 2022 | Common Stock | 151K | $127.60 | Direct | F6 |
Id | Content |
---|---|
F1 | Reflects 7,925 shares transferred on May 26, 2022 and 36,674 shares transferred on August 18, 2022 from Grantor Retained Annuity Trusts. |
F2 | Reflects 24,297 shares transferred on February 24, 2022 to a Grantor Retained Annuity Trust. |
F3 | Gift of shares to an irrevocable trust of which a member of the reporting person's immediate family serves as trustee and of which the reporting person's descendants are beneficiaries. |
F4 | Reflects 13,835 shares transferred on May 26, 2022 and 7,490 shares transferred on August 18, 2022 from Grantor Retained Annuity Trusts. |
F5 | The information in this report is based on a 401(k) plan statement as of October 31, 2022. |
F6 | 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 on the first, second and third anniversaries of the grant date. |