Anthony Fassino - Feb 13, 2024 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
Feb 13, 2024
Transactions value $
-$1,513,722
Form type
4
Date filed
2/15/2024, 06:04 AM
Previous filing
Jan 16, 2024
Next filing
Feb 16, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CAT Common Stock Award $0 +12K +52% $0.00 35.2K Feb 13, 2024 Direct
transaction CAT Common Stock Tax liability -$1.51M -4.83K -13.73% $313.40 30.4K Feb 13, 2024 Direct F1
holding CAT Common Stock 1.43K Feb 13, 2024 Held by 401(k) Plan F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of performance-based stock units granted March 1, 2021.
F2 The information in this report is based on a 401(k) plan statement dated as of January 31, 2024.