Anthony Fassino - Aug 29, 2023 Form 4 Insider Report for CATERPILLAR INC (CAT)

Role
Group President
Signature
/s/ Nicole Puza, POA for Anthony D. Fassino
Stock symbol
CAT
Transactions as of
Aug 29, 2023
Transactions value $
-$1,645,631
Form type
4
Date filed
8/31/2023, 12:56 PM
Previous filing
Mar 8, 2023
Next filing
Jan 16, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CAT Common Stock Options Exercise $201K +2.69K +16.64% $74.77 18.9K Aug 29, 2023 Direct F1
transaction CAT Common Stock Tax liability -$201K -721 -3.82% $279.00 18.2K Aug 29, 2023 Direct
transaction CAT Common Stock Sale -$550K -1.97K -10.86% $279.00 16.2K Aug 29, 2023 Direct
transaction CAT Common Stock Options Exercise $138K +1.45K +8.94% $95.66 17.6K Aug 29, 2023 Direct
transaction CAT Common Stock Tax liability -$138K -496 -2.81% $279.00 17.1K Aug 29, 2023 Direct
transaction CAT Common Stock Sale -$265K -951 -5.55% $279.00 16.2K Aug 29, 2023 Direct
transaction CAT Common Stock Options Exercise -$396K -4.14K -16.93% $95.66 20.3K Aug 30, 2023 Direct
transaction CAT Common Stock Tax liability -$396K -1.4K -6.89% $282.57 18.9K Aug 30, 2023 Direct
transaction CAT Common Stock Sale -$774K -2.74K -14.48% $282.57 16.2K Aug 30, 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 $201K +2.69K $74.77 0 Aug 29, 2023 Common Stock 2.69K $74.77 Direct F2
transaction CAT Employee Stock Options Options Exercise $138K +1.45K +53.71% $95.66 4.14K Aug 29, 2023 Common Stock 1.45K $95.66 Direct F3
transaction CAT Employee Stock Options Options Exercise $396K +4.14K $95.66 0 Aug 30, 2023 Common Stock 4.14K $95.66 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Includes adjustments for dividends accrued and an adjustment for previously unreported holdings of 1,150 shares.
F2 The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 7, 2016 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.
F3 The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 6, 2017 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.