Denise C. Johnson - Aug 3, 2023 Form 4 Insider Report for CATERPILLAR INC (CAT)

Role
Group President
Signature
/s/ Nicole Puza, POA for Denise C. Johnson
Stock symbol
CAT
Transactions as of
Aug 3, 2023
Transactions value $
$0
Form type
4
Date filed
8/4/2023, 07:33 PM
Previous filing
Jul 28, 2023
Next filing
Aug 28, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CAT Common Stock Options Exercise $2.49M +18K +100.24% $138.35 36K Aug 3, 2023 Direct
transaction CAT Common Stock Sale -7.89K -21.93% 28.1K Aug 3, 2023 Direct F1
transaction CAT Common Stock Sale -10.1K -36.03% 18K Aug 3, 2023 Direct F2
transaction CAT Common Stock Options Exercise $3.03M +23.7K +132.1% $127.60 41.7K Aug 3, 2023 Direct
transaction CAT Common Stock Sale -16.6K -39.83% 25.1K Aug 3, 2023 Direct F3
transaction CAT Common Stock Sale -2.3K -9.17% 22.8K Aug 3, 2023 Direct F4
transaction CAT Common Stock Sale -4.11K -18.04% 18.7K Aug 3, 2023 Direct F5
transaction CAT Common Stock Sale -714 -3.82% 18K Aug 3, 2023 Direct F6

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 -$2.49M -18K -100% $138.35 0 Aug 3, 2023 Common Stock 18K $138.35 Direct F7
transaction CAT Employee Stock Options Options Exercise -$3.03M -23.7K -100% $127.60 0 Aug 3, 2023 Common Stock 23.7K $127.60 Direct F8
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 This transaction was executed in multiple trades at prices ranging from $282.54 to $283.53. 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.
F2 This transaction was executed in multiple trades at prices ranging from $283.54 to $284.15. 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 $284.15 to $285.05. 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 This transaction was executed in multiple trades at prices ranging from $285.16 to $285.95. 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.
F5 This transaction was executed in multiple trades at prices ranging from $286.31 to $287.22. 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.
F6 This transaction was executed in multiple trades at prices ranging from $287.57 to $287.79. 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.
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.