Joseph E. Creed - Apr 20, 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
Apr 20, 2022
Transactions value $
-$1,175,940
Form type
4
Date filed
4/22/2022, 12:59 PM
Previous filing
Mar 15, 2022
Next filing
May 23, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CAT Common Stock Options Exercise $692K +5K +181.5% $138.35 7.76K Apr 20, 2022 Direct
transaction CAT Common Stock Sale -$1.18M -5K -64.48% $235.00 2.76K Apr 20, 2022 Direct
holding CAT Common Stock 10.3K Apr 20, 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 -50% $138.35 5K Apr 20, 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 March 31, 2022.
F2 The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 4, 2019 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.