Bob De Lange - Apr 21, 2022 Form 4 Insider Report for CATERPILLAR INC (CAT)

Role
Group President
Signature
/s/ Barbara Thomas, POA for Bob De Lange
Stock symbol
CAT
Transactions as of
Apr 21, 2022
Transactions value $
-$2,780,096
Form type
4
Date filed
4/25/2022, 01:05 PM
Previous filing
Mar 8, 2022
Next filing
May 2, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CAT Common Stock Options Exercise $876K +11.7K +26.74% $74.77 55.5K Apr 21, 2022 Direct
transaction CAT Common Stock Sale -$2.78M -11.7K -21.1% $237.25 43.8K Apr 21, 2022 Direct

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 Option Options Exercise -$876K -11.7K -50% $74.77 11.7K Apr 21, 2022 Common Stock 11.7K $74.77 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 on March 7, 2016 and vest equally in 1/3 increments on each of the first, second and third anniversaries of the grant date.