Anthony D. Fassino - 15 Feb 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
15 Feb 2024
Transactions value $
-$4,531,506
Form type
4
Filing time
16 Feb 2024, 15:53:55
Previous filing
15 Feb 2024
Next filing
23 Feb 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 $2.13M +14.1K +46.35% $151.12 44.4K 15 Feb 2024 Direct
transaction CAT Common Stock Tax liability -$2.13M -6.6K -14.86% $322.00 37.8K 15 Feb 2024 Direct
transaction CAT Common Stock Sale -$2.41M -7.47K -19.74% $322.00 30.4K 15 Feb 2024 Direct
holding CAT Common Stock 1.43K 15 Feb 2024 Held by 401(k) Plan F1

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 -$2.13M -14.1K -100% $151.12 0 15 Feb 2024 Common Stock 14.1K $151.12 Direct F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The information in this report is based on a 401(k) plan statement dated as of January 31, 2024.
F2 The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 5, 2018 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.