Andrew Bonfield - Mar 7, 2024 Form 4 Insider Report for CATERPILLAR INC (CAT)

Role
Chief Financial Officer
Signature
/s/ Nicole Puza, POA for Andrew Bonfield
Stock symbol
CAT
Transactions as of
Mar 7, 2024
Transactions value $
-$7,744,213
Form type
4
Date filed
3/8/2024, 01:45 PM
Previous filing
Mar 6, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CAT Common Stock Options Exercise $3.38M +15.4K +26.4% $219.76 73.7K Mar 7, 2024 Direct
transaction CAT Common Stock Tax liability -$4.13M -12.1K -16.47% $340.39 61.6K Mar 7, 2024 Direct
transaction CAT Common Stock Options Exercise $2.79M +14.2K +23.04% $196.70 75.8K Mar 7, 2024 Direct
transaction CAT Common Stock Tax liability -$3.61M -10.6K -14.01% $340.39 65.1K Mar 7, 2024 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 -$3.38M -15.4K -100% $219.76 0 Mar 7, 2024 Common Stock 15.4K $219.76 Direct F1
transaction CAT Employee Stock Options Options Exercise -$2.79M -14.2K -50% $196.70 14.2K Mar 7, 2024 Common Stock 14.2K $196.70 Direct F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 1, 2021 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.
F2 The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 7, 2022 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date