Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
---|---|---|---|---|---|---|---|---|---|---|---|
transaction | CAT | Common Stock | Sale | -$865K | -3.04K | -100% | $284.84 | 0 | Aug 3, 2023 | Direct | |
transaction | CAT | Common Stock | Options Exercise | $982K | +7.7K | $127.60 | 7.7K | Aug 3, 2023 | Direct | ||
transaction | CAT | Common Stock | Tax liability | -$982K | -3.45K | -44.8% | $284.78 | 4.25K | Aug 3, 2023 | Direct | |
transaction | CAT | Common Stock | Sale | -$1.21M | -4.25K | -100% | $285.55 | 0 | Aug 3, 2023 | Direct | F1 |
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 | -$982K | -7.7K | -100% | $127.60 | 0 | Aug 3, 2023 | Common Stock | 7.7K | $127.60 | Direct | F2 |
Id | Content |
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F1 | This transaction was executed in multiple trades at prices ranging from $285.45 to $285.59. 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 at whch the transaction was effected. |
F2 | 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. |