Bob De Lange - Jan 7, 2022 Form 4 Insider Report for CATERPILLAR INC (CAT)

Role
Group President
Signature
/s/ Barbara Thomas, POA for Bob De Lange
Stock symbol
CAT
Transactions as of
Jan 7, 2022
Transactions value $
-$5,272,875
Form type
4
Date filed
1/10/2022, 04:38 PM
Next filing
Feb 10, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CAT Common Stock Options Exercise $1.75M +23.4K +63.5% $74.77 60.3K Jan 7, 2022 Direct F1
transaction CAT Common Stock Sale -$5.27M -23.4K -38.84% $225.00 36.9K Jan 7, 2022 Direct

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction CAT Employee Stock Option Options Exercise -$1.75M -23.4K -50% $74.77 23.4K Jan 7, 2022 Common Stock 23.4K $74.77 Direct F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Includes adjustments for dividends accrued.
F2 The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 7, 2016 and vest equally in 1/3 increments on each of the first, second and third anniversaries of the grant date.