4//SEC Filing
Fassino Anthony D. 4
Accession 0001104659-24-115375
CIK 0000018230other
Filed
Nov 6, 7:00 PM ET
Accepted
Nov 7, 5:05 PM ET
Size
11.4 KB
Accession
0001104659-24-115375
Insider Transaction Report
Form 4
Fassino Anthony D.
Group President
Transactions
- Exercise/Conversion
Common Stock
2024-11-06$127.60/sh+8,000$1,020,800→ 41,422 total - Tax Payment
Common Stock
2024-11-06$409.72/sh−2,491$1,020,613→ 38,951 total - Sale
Common Stock
2024-11-06$409.84/sh−5,509$2,257,809→ 33,442 total - Exercise/Conversion
Employee Stock Options
2024-11-06$127.60/sh−8,000$1,020,800→ 9,133 totalExercise: $127.60Exp: 2030-03-02→ Common Stock (8,000 underlying)
Holdings
- 1,459(indirect: By 401(k))
Common Stock
Footnotes (3)
- [F1]This transaction was executed in multiple trades at prices ranging from $409.73 to $409.91. 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.
- [F2]The information in this report is based on a 401(k) plan statement dated as of October 31, 2024.
- [F3]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 in the first, second and third anniversaries of the grant date.
Documents
Issuer
CATERPILLAR INC
CIK 0000018230
Entity typeother
Related Parties
1- filerCIK 0001839757
Filing Metadata
- Form type
- 4
- Filed
- Nov 6, 7:00 PM ET
- Accepted
- Nov 7, 5:05 PM ET
- Size
- 11.4 KB