Suzette M. Long - Jun 7, 2023 Form 4 Insider Report for CATERPILLAR INC (CAT)

Role
CLO/General Counsel
Signature
/s/ Nicole Puza, POA for Suzette M. Long
Stock symbol
CAT
Transactions as of
Jun 7, 2023
Transactions value $
-$3,565,798
Form type
4
Date filed
6/9/2023, 06:00 AM
Previous filing
Mar 8, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CAT Common Stock Options Exercise $2.62M +20.5K +233.92% $127.60 29.3K Jun 7, 2023 Direct
transaction CAT Common Stock Tax liability -$3.57M -15.4K -52.6% $231.32 13.9K Jun 7, 2023 Direct
holding CAT Common Stock 86 Jun 7, 2023 Held by 401(k) Plan F2

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 -$2.62M -20.5K -100% $127.60 0 Jun 7, 2023 Common Stock 20.5K $127.60 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 2, 2020 and vest equally in 1/3 increments on the first, second and third anniversary of the grant date.
F2 The information in this report is based on a 401(k) plan statement dated as of May 31, 2023.