Anthony D. Fassino - 30 Aug 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
30 Aug 2024
Transactions value $
-$1,756,927
Form type
4
Filing time
03 Sep 2024, 17:06:41
Previous filing
06 Mar 2024
Next filing
07 Nov 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 $638K +5K +14.95% $127.60 38.4K 30 Aug 2024 Direct F1
transaction CAT Common Stock Tax liability -$638K -1.82K -4.72% $351.43 36.6K 30 Aug 2024 Direct
transaction CAT Common Stock Sale -$1.12M -3.19K -8.7% $351.36 33.4K 30 Aug 2024 Direct
holding CAT Common Stock 1.46K 30 Aug 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 -$638K -5K -22.59% $127.60 17.1K 30 Aug 2024 Common Stock 5K $127.60 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Includes dividends accrued.
F2 The information in this report is based on a 401(k) plan statement dated as of August 30, 2024.
F3 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 on the first, second and third anniversaries of the grant date.