Anthony Fassino - Nov 6, 2024 Form 4 Insider Report for CATERPILLAR INC (CAT)

Role
Group President
Signature
/s/ Nicole Puza, POA for Anthony Fassino
Stock symbol
CAT
Transactions as of
Nov 6, 2024
Transactions value $
-$3,278,421
Form type
4
Date filed
11/7/2024, 05:05 PM
Previous filing
Sep 3, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CAT Common Stock Options Exercise $1.02M +8K +23.94% $127.60 41.4K Nov 6, 2024 Direct
transaction CAT Common Stock Tax liability -$1.02M -2.49K -6.01% $409.72 39K Nov 6, 2024 Direct
transaction CAT Common Stock Sale -$2.26M -5.51K -14.14% $409.84 33.4K Nov 6, 2024 Direct F1
holding CAT Common Stock 1.46K Nov 6, 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 -$1.02M -8K -46.69% $127.60 9.13K Nov 6, 2024 Common Stock 8K $127.60 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 $409.73 to $409.91. 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 information in this report is based on a 401(k) plan statement dated as of October 31, 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 in the first, second and third anniversaries of the grant date.