Anthony D. Fassino - 22 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
22 Feb 2024
Transactions value $
-$2,537,011
Form type
4
Filing time
23 Feb 2024, 15:47:22 UTC
Previous filing
16 Feb 2024
Next filing
29 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 $1.09M +7.88K +25.93% $138.35 38.3K 22 Feb 2024 Direct F1
transaction CAT Common Stock Tax liability -$1.09M -3.39K -8.85% $321.95 34.9K 22 Feb 2024 Direct
transaction CAT Common Stock Sale -$1.45M -4.49K -12.88% $321.96 30.4K 22 Feb 2024 Direct
holding CAT Common Stock 1.43K 22 Feb 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 -$1.09M -7.88K -50% $138.35 7.88K 22 Feb 2024 Common Stock 7.88K $138.35 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Includes adjustments for dividends accrued.
F2 The information in this report is based on a 401(k) plan statement dated as of January 31, 2024.
F3 The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 4, 2019 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.