Anthony Fassino - Feb 22, 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 22, 2024
Transactions value $
-$2,537,011
Form type
4
Date filed
2/23/2024, 03:47 PM
Previous filing
Feb 16, 2024
Next filing
Feb 29, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CAT Common Stock Options Exercise $1.09M +7.88K +25.93% $138.35 38.3K Feb 22, 2024 Direct F1
transaction CAT Common Stock Tax liability -$1.09M -3.39K -8.85% $321.95 34.9K Feb 22, 2024 Direct
transaction CAT Common Stock Sale -$1.45M -4.49K -12.88% $321.96 30.4K Feb 22, 2024 Direct
holding CAT Common Stock 1.43K Feb 22, 2024 Held by 401(k) Plan F2

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 -$1.09M -7.88K -50% $138.35 7.88K Feb 22, 2024 Common Stock 7.88K $138.35 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.
F2 The information in this report is based on a 401(k) plan statement dated as of January 31, 2024.
F3 The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 4, 2019 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.