| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | CAT | Common Stock | Options Exercise | $3.02M | +20K | +28.13% | $151.12 | 91.1K | Nov 7, 2024 | Direct | F1 |
| transaction | CAT | Common Stock | Tax liability | -$3.02M | -7.34K | -8.06% | $411.58 | 83.8K | Nov 7, 2024 | Direct | |
| transaction | CAT | Common Stock | Sale | -$2.18M | -5.33K | -6.36% | $408.82 | 78.4K | Nov 7, 2024 | Direct | F2 |
| transaction | CAT | Common Stock | Sale | -$1.99M | -4.83K | -6.16% | $411.13 | 73.6K | Nov 7, 2024 | Direct | F3 |
| transaction | CAT | Common Stock | Sale | -$1.03M | -2.5K | -3.39% | $411.61 | 71.1K | Nov 7, 2024 | Direct | F4 |
| 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 | -$3.02M | -20K | -33.05% | $151.12 | 40.5K | Nov 7, 2024 | Common Stock | 20K | $151.12 | Direct | F5 |
| Id | Content |
|---|---|
| F1 | Includes dividends accrued. |
| F2 | This transaction was executed in multiple trades at prices ranging from $408.45 to $409.45. 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 and prices at which the transaction was effected. |
| F3 | This transaction was executed in multiple trades at prices ranging from $410.42 to $411.42. 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 and prices at which the transaction was effected. |
| F4 | This transaction was executed in multiple trades at prices ranging from $411.44 to $412.03. 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 and prices at which the transaction was effected. |
| F5 | 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 in the first, second and third anniversaries of the grant date. |