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

Role
Group President
Signature
/s/ Nicole Puza, POA for Joseph E. Creed
Issuer symbol
CAT
Transactions as of
27 Dec 2022
Net transactions value
-$1,878,312
Form type
4
Filing time
28 Dec 2022, 12:39:25 UTC
Previous filing
27 Dec 2022
Next filing
09 Jan 2023
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CAT Common Stock Options Exercise $982,265 +7,698 $127.60 7,698 27 Dec 2022 Direct
transaction CAT Common Stock Sale $1,878,312 -7,698 -100% $244.00 0 27 Dec 2022 Direct
holding CAT Common Stock 10,599 27 Dec 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 $982,265 -7,698 -50% $127.60 7,698 27 Dec 2022 Common Stock 7,698 $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.