Cheryl H. Johnson - 09 Aug 2023 Form 4 Insider Report for CATERPILLAR INC (CAT)

Role
Chief Human Resources Officer
Signature
/s/ Nicole Puza, POA for Cheryl Johnson
Issuer symbol
CAT
Transactions as of
09 Aug 2023
Net transactions value
-$5,238,129
Form type
4
Filing time
10 Aug 2023, 17:50:16 UTC
Previous filing
19 Jul 2023
Next filing
07 Dec 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 $2,764,589 +18,294 +112% $151.12 34,656 09 Aug 2023 Direct
transaction CAT Common Stock Sale $4,836,245 -16,894 -49% $286.27 17,762 09 Aug 2023 Direct F1
transaction CAT Common Stock Sale $401,884 -1,400 -7.9% $287.06 16,362 09 Aug 2023 Direct F2
holding CAT Common Stock 223 09 Aug 2023 Held by 401(k) Plan F3

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 $2,764,589 -18,294 -100% $151.12 0 09 Aug 2023 Common Stock 18,294 $151.12 Direct F4
* 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 $286.00 to $286.95. 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.
F2 This transaction was executed in multiple trades at prices ranging from $287.00 to $287.10. 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 The information in this report is based on a 401(k) statement dated as of July 31, 2023.
F4 The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 5, 2018 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.