Joseph E. Creed - Dec 27, 2022 Form 4 Insider Report for CATERPILLAR INC (CAT)

Role
Group President
Signature
/s/ Nicole Puza, POA for Joseph E. Creed
Stock symbol
CAT
Transactions as of
Dec 27, 2022
Transactions value $
-$1,878,312
Form type
4
Date filed
12/28/2022, 12:39 PM
Previous filing
Dec 27, 2022
Next filing
Jan 9, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CAT Common Stock Options Exercise $982K +7.7K $127.60 7.7K Dec 27, 2022 Direct
transaction CAT Common Stock Sale -$1.88M -7.7K -100% $244.00 0 Dec 27, 2022 Direct
holding CAT Common Stock 10.6K Dec 27, 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 -$982K -7.7K -50% $127.60 7.7K Dec 27, 2022 Common Stock 7.7K $127.60 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 November 30, 2022.
F2 The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 2, 2020 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.