| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | CAT | Common Stock | Sale | -$513K | -1.51K | -7% | $340.00 | 20K | May 30, 2024 | Direct | F1 |
| holding | CAT | Common Stock | 244 | May 30, 2024 | Held by 401(k) Plan | F2 |
Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.
Transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).
| Id | Content |
|---|---|
| F1 | Includes adjustments for dividends accrued. |
| F2 | The information in this report is based on a 401(k) plan statement dated as of April 30, 2024. |