Joseph E. Creed - Jan 18, 2022 Form 4 Insider Report for CATERPILLAR INC (CAT)

Role
Group President
Signature
/s/ Barbara Thomas, POA for Joseph E. Creed
Stock symbol
CAT
Transactions as of
Jan 18, 2022
Transactions value $
-$1,150,920
Form type
4
Date filed
1/19/2022, 02:52 PM
Previous filing
Dec 27, 2021
Next filing
Feb 10, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CAT Common Stock Award $692K +5K $138.35 5K Jan 18, 2022 Direct
transaction CAT Common Stock Sale -$1.15M -5K -100% $230.00 0 Jan 18, 2022 Direct
holding CAT Common Stock 10.1K Jan 18, 2022 Held by 401(k) Plan F1

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 Options Options Exercise -$692K -5K -33.34% $138.35 10K Jan 18, 2022 Common Stock 5K $138.35 Direct F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The information in this report is based on a 401(k) plan statement dated as of December 31, 2021.
F2 The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan March 4, 2019 and vest equally in 1/3 increments on each of the first, second and third anniversaries of the grant date.