Cheryl Johnson - Nov 9, 2022 Form 4 Insider Report for CATERPILLAR INC (CAT)

Role
Chief Human Resources Officer
Signature
/s/ Nicole Puza, POA for Cheryl H. Johnson
Stock symbol
CAT
Transactions as of
Nov 9, 2022
Transactions value $
-$5,981,144
Form type
4
Date filed
2/6/2023, 08:55 PM
Previous filing
Mar 8, 2022
Next filing
Feb 8, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CAT Common Stock Gift $0 -6.61K -31.39% $0.00 14.4K Nov 9, 2022 Direct F1
transaction CAT Common Stock Gift $0 -693 -4.76% $0.00 13.9K Feb 3, 2023 Direct F1
transaction CAT Common Stock Options Exercise $1.97M +14.3K +102.91% $138.35 28.1K Feb 3, 2023 Direct
transaction CAT Common Stock Sale -$3.57M -14.3K -50.72% $250.27 13.9K Feb 3, 2023 Direct F2
transaction CAT Common Stock Options Exercise $1.23M +9.62K +69.45% $127.60 23.5K Feb 3, 2023 Direct
transaction CAT Common Stock Sale -$2.41M -9.62K -40.98% $250.68 13.9K Feb 3, 2023 Direct F3
holding CAT Common Stock 197 Nov 9, 2022 Held by 401(K) Plan F4

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 Other $0 -18.3K -50% $0.00 18.3K Jan 20, 2023 Common Stock 18.3K $151.12 Direct F5, F6
transaction CAT Employee Stock Options Other $0 -14.3K -50% $0.00 14.3K Jan 20, 2023 Common Stock 14.3K $138.35 Direct F5, F7
transaction CAT Employee Stock Options Other $0 -16K -50% $0.00 16K Jan 20, 2023 Common Stock 16K $127.60 Direct F5, F8
transaction CAT Employee Stock Options Other $0 -15.5K -50% $0.00 15.5K Jan 20, 2023 Common Stock 15.5K $219.76 Direct F5, F9
transaction CAT Employee Stock Options Other $0 -12.1K -50% $0.00 12.1K Jan 20, 2023 Common Stock 12.1K $196.70 Direct F5, F10
transaction CAT Employee Stock Options Options Exercise -$1.97M -14.3K -100% $138.35 0 Feb 3, 2023 Common Stock 14.3K $138.35 Direct F7
transaction CAT Employee Stock Options Options Exercise -$1.23M -9.62K -60% $127.60 6.42K Feb 3, 2023 Common Stock 9.62K $127.60 Direct F8
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Includes adjustments for dividends accrued.
F2 This transaction was executed in multiple trades at prices ranging from $249.83 to $250.50. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
F3 This transaction was executed in multiple trades at prices ranging from $250.50 to $250.865. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
F4 The information in this report is based on a 401(k) statement dated as of January 31, 2023.
F5 Reflects stock options transferred to a former spouse pursuant to a domestic relations order.
F6 The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 5, 2018 and vested equally in 1/3 increments on the first, second and third anniversaries of the grant date.
F7 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.
F8 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.
F9 The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 1, 2021 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.
F10 The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 7, 2022 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.