Andrew Bonfield - Aug 2, 2023 Form 4 Insider Report for CATERPILLAR INC (CAT)

Role
Chief Financial Officer
Signature
/s/ Nicole Puza, POA for Andrew Bonfield
Stock symbol
CAT
Transactions as of
Aug 2, 2023
Transactions value $
$8,184,535
Form type
4
Date filed
8/3/2023, 01:32 PM
Previous filing
Mar 8, 2023
Next filing
Jan 26, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CAT Common Stock Options Exercise $6.77M +30.8K +43.96% $219.76 101K Aug 2, 2023 Direct
transaction CAT Common Stock Tax liability -$7.62M -26.3K -26.05% $289.99 74.5K Aug 2, 2023 Direct
transaction CAT Common Stock Options Exercise $2.79M +14.2K +19.03% $196.70 88.7K Aug 2, 2023 Direct
transaction CAT Common Stock Tax liability -$3.31M -11.4K -12.87% $289.99 77.3K Aug 2, 2023 Direct

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 $6.77M +30.8K $219.76 15.4K Aug 2, 2023 Common Stock 30.8K $219.76 Direct F1
transaction CAT Employee Stock Options Options Exercise $2.79M +14.2K +100.01% $196.70 28.4K Aug 2, 2023 Common Stock 14.2K $196.70 Direct F2
* 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 1, 2021 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.
F2 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