Anthony D. Fassino - 08 Feb 2022 Form 4 Insider Report for CATERPILLAR INC (CAT)

Role
Group President
Signature
By: /s/Barbara Thomas, POA for Anthony D. Fassino
Issuer symbol
CAT
Transactions as of
08 Feb 2022
Net transactions value
-$245,140
Form type
4
Filing time
10 Feb 2022, 12:40:22 UTC
Next filing
08 Mar 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CAT Common Stock Award $0 +4,073 +46% $0.000000 12,926 08 Feb 2022 Direct
transaction CAT Common Stock Tax liability $245,140 -1,221 -9.4% $200.77 11,705 08 Feb 2022 Direct F1
holding CAT Common Stock 1,300 08 Feb 2022 Held by 401(k) Plan F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Represents shares withheld from the reporting person to satisfy tax obligations arising from the vesting of performance-based restricted stock units granted on March 4, 2019.
F2 The information in this report is based on a 401(k) plan statement dated as of January 31, 2022.