Anthony Fassino - Feb 8, 2022 Form 4 Insider Report for CATERPILLAR INC (CAT)

Role
Group President
Signature
By: /s/Barbara Thomas, POA for Anthony D. Fassino
Stock symbol
CAT
Transactions as of
Feb 8, 2022
Transactions value $
-$245,140
Form type
4
Date filed
2/10/2022, 12:40 PM
Next filing
Mar 8, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CAT Common Stock Award $0 +4.07K +46.01% $0.00 12.9K Feb 8, 2022 Direct
transaction CAT Common Stock Tax liability -$245K -1.22K -9.45% $200.77 11.7K Feb 8, 2022 Direct F1
holding CAT Common Stock 1.3K Feb 8, 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.