Denise C. Johnson - 27 Dec 2022 Form 4 Insider Report for CATERPILLAR INC (CAT)

Role
Group President
Signature
/s/ Nicole Puza, POA for Denise C. Johnson
Issuer symbol
CAT
Transactions as of
27 Dec 2022
Net transactions value
-$5,700,203
Form type
4
Filing time
28 Dec 2022, 12:43:15 UTC
Previous filing
27 Dec 2022
Next filing
08 Feb 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 $3,028,841 +23,737 +276% $127.60 32,342 27 Dec 2022 Direct
transaction CAT Common Stock Sale $5,700,203 -23,737 -73% $240.14 8,605 27 Dec 2022 Direct 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 $3,028,841 -23,737 -50% $127.60 23,736 27 Dec 2022 Common Stock 23,737 $127.60 Direct F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 This transaction was executed as multiple trades, all executed at the price reported above. The reporting person herby undertakes to provide upon request of the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares at which the transaction was effected.
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.