Andrew R. J. Bonfield - 02 Aug 2023 Form 4 Insider Report for CATERPILLAR INC (CAT)

Role
Chief Financial Officer
Signature
/s/ Nicole Puza, POA for Andrew Bonfield
Issuer symbol
CAT
Transactions as of
02 Aug 2023
Net transactions value
+$8,184,535
Form type
4
Filing time
03 Aug 2023, 13:32:31 UTC
Previous filing
08 Mar 2023
Next filing
26 Jan 2024
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 $6,765,531 +30,786 +44% $219.76 100,813 02 Aug 2023 Direct
transaction CAT Common Stock Tax liability $7,616,297 -26,264 -26% $289.99 74,549 02 Aug 2023 Direct
transaction CAT Common Stock Options Exercise $2,790,583 +14,187 +19% $196.70 88,736 02 Aug 2023 Direct
transaction CAT Common Stock Tax liability $3,311,396 -11,419 -13% $289.99 77,317 02 Aug 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 $6,765,531 +30,786 $219.76 15,393 02 Aug 2023 Common Stock 30,786 $219.76 Direct F1
transaction CAT Employee Stock Options Options Exercise $2,790,583 +14,187 +100% $196.70 28,372 02 Aug 2023 Common Stock 14,187 $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