Denise C. Johnson - 03 Aug 2023 Form 4 Insider Report for CATERPILLAR INC (CAT)

Role: Group President
Signature: /s/ Nicole Puza, POA for Denise C. Johnson
Issuer symbol: CAT
Transactions as of: 03 Aug 2023
Net transactions value: $0
Form type: 4
Filing time: 04 Aug 2023, 19:33:02 UTC
Previous filing: 28 Jul 2023
Next filing: 28 Aug 2023
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	$2,491,960	+18,012	+100%	$138.35	35,980	03 Aug 2023	Direct
transaction	CAT	Common Stock	Sale		-7,892	-22%		28,088	03 Aug 2023	Direct	F1
transaction	CAT	Common Stock	Sale		-10,120	-36%		17,968	03 Aug 2023	Direct	F2
transaction	CAT	Common Stock	Options Exercise	$3,028,714	+23,736	+132%	$127.60	41,704	03 Aug 2023	Direct
transaction	CAT	Common Stock	Sale		-16,610	-40%		25,094	03 Aug 2023	Direct	F3
transaction	CAT	Common Stock	Sale		-2,300	-9.2%		22,794	03 Aug 2023	Direct	F4
transaction	CAT	Common Stock	Sale		-4,112	-18%		18,682	03 Aug 2023	Direct	F5
transaction	CAT	Common Stock	Sale		-714	-3.8%		17,968	03 Aug 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	$2,491,960	-18,012	-100%	$138.35	0	03 Aug 2023	Common Stock	18,012	$138.35	Direct	F7
transaction	CAT	Employee Stock Options	Options Exercise	$3,028,714	-23,736	-100%	$127.60	0	03 Aug 2023	Common Stock	23,736	$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.