Andrew R. J. Bonfield - 07 Mar 2024 Form 4 Insider Report for CATERPILLAR INC (CAT)

Role
Chief Financial Officer
Signature
/s/ Nicole Puza, POA for Andrew Bonfield
Issuer symbol
CAT
Transactions as of
07 Mar 2024
Net transactions value
-$7,744,213
Form type
4
Filing time
08 Mar 2024, 13:45:01 UTC
Previous filing
06 Mar 2024
Next filing
26 Nov 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 $3,382,766 +15,393 +26% $219.76 73,707 07 Mar 2024 Direct
transaction CAT Common Stock Tax liability $4,131,654 -12,138 -16% $340.39 61,569 07 Mar 2024 Direct
transaction CAT Common Stock Options Exercise $2,790,386 +14,186 +23% $196.70 75,755 07 Mar 2024 Direct
transaction CAT Common Stock Tax liability $3,612,559 -10,613 -14% $340.39 65,142 07 Mar 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 $3,382,766 -15,393 -100% $219.76 0 07 Mar 2024 Common Stock 15,393 $219.76 Direct F1
transaction CAT Employee Stock Options Options Exercise $2,790,386 -14,186 -50% $196.70 14,186 07 Mar 2024 Common Stock 14,186 $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