Anthony Fassino - Nov 29, 2024 Form 4 Insider Report for CATERPILLAR INC (CAT)

Signature
/s/ Nicole Puza, POA for Anthony Fassino
Stock symbol
CAT
Transactions as of
Nov 29, 2024
Transactions value $
-$3,730,596
Form type
4
Date filed
12/2/2024, 05:08 PM
Previous filing
Nov 7, 2024
Next filing
Jan 14, 2025

Transactions Table

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 -$1.17M -9.13K -100% $127.60 0 Nov 29, 2024 Common Stock 9.13K $127.60 Direct F4
* 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 executed in multiple trades at prices ranging from $408.57 to $408.80. 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.
F3 The information in this report is based on a 401(k) plan statement dated as of October 31, 2024.
F4 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.