Andrew R. J. Bonfield - 17 Jul 2025 Form 4 Insider Report for CATERPILLAR INC (CAT)

Role
Chief Financial Officer
Signature
/s/ Nicole Puza, POA for Andrew R J Bonfield
Issuer symbol
CAT
Transactions as of
17 Jul 2025
Net transactions value
-$11,441,981
Form type
4
Filing time
21 Jul 2025, 16:06:14 UTC
Previous filing
05 Mar 2025
Next filing
02 Dec 2025
SEC
View on sec.gov

Reporting Owners (1)

Name Relationship Address Signature Signature date CIK
BONFIELD ANDREW R J Chief Financial Officer 5205 N. O'CONNOR BOULEVARD, SUITE 100, IRVING /s/ Nicole Puza, POA for Andrew R J Bonfield 21 Jul 2025 0001199292

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CAT Common Stock Options Exercise $2,790,386 +14,186 +26% $196.70 69,566 17 Jul 2025 Direct
transaction CAT Common Stock Tax liability $4,031,904 -9,683 -14% $416.39 59,883 17 Jul 2025 Direct
transaction CAT Common Stock Options Exercise $5,920,528 +23,311 +39% $253.98 83,194 17 Jul 2025 Direct
transaction CAT Common Stock Tax liability $7,410,076 -17,796 -21% $416.39 65,422 17 Jul 2025 Direct

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 $2,790,386 -14,186 -100% $196.70 0 17 Jul 2025 Common Stock 14,186 $196.70 Direct F1
transaction CAT Employee Stock Options Options Exercise $5,920,528 -23,311 -67% $253.98 11,655 17 Jul 2025 Common Stock 23,311 $253.98 Direct F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 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 on the first, second and third anniversaries of the grant date.
F2 The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 6, 2023 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.