William Schaupp - Nov 1, 2024 Form 4 Insider Report for CATERPILLAR INC (CAT)

Role
Chief Accounting Officer
Signature
/s/ Nicole Puza, POA for William Schaupp
Stock symbol
CAT
Transactions as of
Nov 1, 2024
Transactions value $
-$761,888
Form type
4
Date filed
11/4/2024, 02:58 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 $393K +2K +118.62% $196.70 3.69K Nov 1, 2024 Direct F1
transaction CAT Common Stock Tax liability -$393K -1.03K -28% $380.91 2.65K Nov 1, 2024 Direct
transaction CAT Common Stock Sale -$369K -968 -36.47% $380.98 1.69K Nov 1, 2024 Direct 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 Exployee Stock Options Options Exercise -$393K -2K -64.62% $196.70 1.1K Nov 1, 2024 Common Stock 2K $196.70 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 This transaction was entered as multiple trades, at prices ranging from $380.94 to $381.02. The reporting person hereby undertakes to provide upon request of the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares at which the transaction was effected.
F3 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 in the first, second and third anniversaries of the grant date.