Donald J. Umpleby III - Mar 7, 2022 Form 4 Insider Report for CATERPILLAR INC (CAT)

Role
Chairman & CEO, Director
Signature
/s/Barbara Thomas, POA for Donald J. Umpleby III
Stock symbol
CAT
Transactions as of
Mar 7, 2022
Transactions value $
$0
Form type
4
Date filed
3/8/2022, 05:24 PM
Previous filing
Feb 10, 2022
Next filing
May 27, 2022

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 Award $0 +131K $0.00 131K Mar 7, 2022 Common Stock 131K $196.70 Direct F1
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.