Anthony D. Fassino - 30 Aug 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
30 Aug 2024
Net transactions value
-$1,756,927
Form type
4
Filing time
03 Sep 2024, 17:06:41 UTC
Previous filing
06 Mar 2024
Next filing
07 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 $638,000 +5,000 +15% $127.60 38,442 30 Aug 2024 Direct F1
transaction CAT Common Stock Tax liability $637,845 -1,815 -4.7% $351.43 36,627 30 Aug 2024 Direct
transaction CAT Common Stock Sale $1,119,082 -3,185 -8.7% $351.36 33,442 30 Aug 2024 Direct
holding CAT Common Stock 1,455 30 Aug 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 $638,000 -5,000 -23% $127.60 17,133 30 Aug 2024 Common Stock 5,000 $127.60 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Includes dividends accrued.
F2 The information in this report is based on a 401(k) plan statement dated as of August 30, 2024.
F3 The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 2, 2020 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.