Anthony D. Fassino - 15 Feb 2024 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
15 Feb 2024
Net transactions value
-$4,531,506
Form type
4
Filing time
16 Feb 2024, 15:53:55 UTC
Previous filing
15 Feb 2024
Next filing
23 Feb 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 $2,126,712 +14,073 +46% $151.12 44,434 15 Feb 2024 Direct
transaction CAT Common Stock Tax liability $2,126,488 -6,604 -15% $322.00 37,830 15 Feb 2024 Direct
transaction CAT Common Stock Sale $2,405,018 -7,469 -20% $322.00 30,361 15 Feb 2024 Direct
holding CAT Common Stock 1,425 15 Feb 2024 Held by 401(k) Plan F1

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 $2,126,712 -14,073 -100% $151.12 0 15 Feb 2024 Common Stock 14,073 $151.12 Direct F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The information in this report is based on a 401(k) plan statement dated as of January 31, 2024.
F2 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.