Bob De Lange - May 13, 2024 Form 4 Insider Report for CATERPILLAR INC (CAT)

Role
Group President
Signature
/s/ Nicole Puza, POA for Bob De Lange
Stock symbol
CAT
Transactions as of
May 13, 2024
Transactions value $
-$10,783,909
Form type
4
Date filed
5/14/2024, 01:14 PM
Previous filing
Apr 30, 2024
Next filing
Jun 17, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CAT Common Stock Options Exercise $53.6K +717 +1.01% $74.77 71.5K May 13, 2024 Direct
transaction CAT Common Stock Tax liability -$133K -373 -0.52% $356.46 71.1K May 13, 2024 Direct
transaction CAT Common Stock Options Exercise $2.85M +29.8K +41.95% $95.66 101K May 13, 2024 Direct
transaction CAT Common Stock Tax liability -$2.85M -7.99K -7.91% $357.30 93K May 13, 2024 Direct
transaction CAT Common Stock Sale -$7.8M -21.8K -23.5% $356.90 71.1K May 13, 2024 Direct 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 -$53.6K -717 -100% $74.77 0 May 13, 2024 Common Stock 717 $74.77 Direct F2
transaction CAT Employee Stock Options Options Exercise -$2.85M -29.8K -100% $95.66 0 May 13, 2024 Common Stock 29.8K $95.66 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 This transaction was executed in multiple trades at prices ranging from $356.75 to $357.10. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
F2 The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 7, 2016 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.
F3 The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 6, 2017 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.