Anthony D. Fassino - 28 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
28 Feb 2024
Transactions value $
-$418,250
Form type
4
Filing time
29 Feb 2024, 14:35:56
Previous filing
23 Feb 2024
Next filing
06 Mar 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 +33.57% $138.35 31.4K 28 Feb 2024 Direct
transaction CAT Common Stock Tax liability -$1.09M -3.31K -10.54% $329.73 28K 28 Feb 2024 Direct
transaction CAT Common Stock Sale -$1.51M -4.58K -16.31% $329.80 23.5K 28 Feb 2024 Direct
holding CAT Common Stock 1.43K 28 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 $1.09M +7.88K $138.35 0 28 Feb 2024 Common Stock 7.88K $138.35 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 4, 2019 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.