Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
---|---|---|---|---|---|---|---|---|---|---|---|
transaction | CAT | Common Stock | Options Exercise | $27.6M | +183K | +66.66% | $151.12 | 457K | Dec 18, 2023 | Direct | |
transaction | CAT | Common Stock | Tax liability | -$38.3M | -133K | -29.18% | $286.72 | 324K | Dec 18, 2023 | Direct | |
transaction | CAT | Common Stock | Options Exercise | $22.6M | +164K | +50.51% | $138.35 | 488K | Dec 18, 2023 | Direct | |
transaction | CAT | Common Stock | Tax liability | -$33.1M | -115K | -23.66% | $286.72 | 372K | Dec 18, 2023 | Direct | |
transaction | CAT | Common Stock | Options Exercise | $9.66M | +75.7K | +20.34% | $127.60 | 448K | Dec 18, 2023 | Direct | |
transaction | CAT | Common Stock | Tax liability | -$14.8M | -51.6K | -11.52% | $286.72 | 396K | Dec 18, 2023 | Direct | |
holding | CAT | Common Stock | 59K | Dec 18, 2023 | Held by Irrevocable Trust for Descendants | ||||||
holding | CAT | Common Stock | 28K | Dec 18, 2023 | Held by Children's Irrevocable Trust | ||||||
holding | CAT | Common Stock | 15.7K | Dec 18, 2023 | Held by Grantor Retained Annuity | ||||||
holding | CAT | Common Stock | 1.01K | Dec 18, 2023 | Held by 401(k) Plan | 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 | $27.6M | +183K | $151.12 | 0 | Dec 18, 2023 | Common Stock | 183K | $151.12 | Direct | F2 | |
transaction | CAT | Employee Stock Options | Options Exercise | $22.6M | +164K | $138.35 | 0 | Dec 18, 2023 | Common Stock | 164K | $138.35 | Direct | F3 | |
transaction | CAT | Employee Stock Options | Options Exercise | $9.66M | +75.7K | $127.60 | 0 | Dec 18, 2023 | Common Stock | 75.7K | $127.60 | Direct | F4 |
Id | Content |
---|---|
F1 | The information in this report is based on a 401(k) plan statement dated as of November 30, 2023. |
F2 | The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 5, 2018 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. |
F3 | The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 4, 2019 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date |
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 on the first, second and third anniversaries of the grant date |