Umpleby III Donald J 4
4 · CATERPILLAR INC · Filed Nov 8, 2024
Insider Transaction Report
Form 4
Umpleby III Donald J
Executive Chairman
Transactions
- Exercise/Conversion
Common Stock
2024-11-07$196.70/sh+87,053$17,123,325→ 526,102 total - Exercise/Conversion
Employee Stock Options
2024-11-07$196.70/sh−87,053$17,123,325→ 43,526 totalExercise: $196.70Exp: 2032-03-07→ Common Stock (87,053 underlying) - Gift
Common Stock
2024-11-07−2,400→ 439,049 total - Tax Payment
Common Stock
2024-11-07$413.02/sh−59,851$24,719,660→ 466,251 total
Holdings
- 59,000(indirect: By Trust)
Common Stock
- 36,040(indirect: By Trust)
Common Stock
- 1,020(indirect: By 401(k))
Common Stock
Footnotes (4)
- [F1]Represents a donation of ordinary shares to The Ayco Charitable Foundation, a Donor Advised Fund.
- [F2]Includes dividends accrued.
- [F3]The information in this report is based on a 401(k) plan dated as of October 31, 2024.
- [F4]The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 7, 2022 and vest equally in 1/3 increments on the first, second and thir anniversaries of the grant date.