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

Role
Group President
Signature
/s/ Nicole Puza, POA for Anthony D. Fassino
Issuer symbol
CAT
Transactions as of
29 Aug 2023
Net transactions value
-$1,645,631
Form type
4
Filing time
31 Aug 2023, 12:56:00 UTC
Previous filing
08 Mar 2023
Next filing
16 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 $201,356 +2,693 +17% $74.77 18,875 29 Aug 2023 Direct F1
transaction CAT Common Stock Tax liability $201,159 -721 -3.8% $279.00 18,154 29 Aug 2023 Direct
transaction CAT Common Stock Sale $550,188 -1,972 -11% $279.00 16,182 29 Aug 2023 Direct
transaction CAT Common Stock Options Exercise $138,420 +1,447 +8.9% $95.66 17,629 29 Aug 2023 Direct
transaction CAT Common Stock Tax liability $138,384 -496 -2.8% $279.00 17,133 29 Aug 2023 Direct
transaction CAT Common Stock Sale $265,329 -951 -5.6% $279.00 16,182 29 Aug 2023 Direct
transaction CAT Common Stock Options Exercise $396,128 -4,141 -17% $95.66 20,323 30 Aug 2023 Direct
transaction CAT Common Stock Tax liability $395,881 -1,401 -6.9% $282.57 18,922 30 Aug 2023 Direct
transaction CAT Common Stock Sale $774,242 -2,740 -14% $282.57 16,182 30 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 $201,356 +2,693 $74.77 0 29 Aug 2023 Common Stock 2,693 $74.77 Direct F2
transaction CAT Employee Stock Options Options Exercise $138,420 +1,447 +54% $95.66 4,141 29 Aug 2023 Common Stock 1,447 $95.66 Direct F3
transaction CAT Employee Stock Options Options Exercise $396,128 +4,141 $95.66 0 30 Aug 2023 Common Stock 4,141 $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.