Andrew R. J. Bonfield - Jan 16, 2025 Form 4 Insider Report for CATERPILLAR INC (CAT)

Signature
/s/ Nicole Puza, POA for Andrew R J Bonfield
Stock symbol
CAT
Transactions as of
Jan 16, 2025
Transactions value $
-$3,800,900
Form type
4
Date filed
1/17/2025, 10:36 AM
Previous filing
Nov 26, 2024
Next filing
Feb 13, 2025

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CAT Common Stock Sale -$3.8M -10K -18.12% $380.09 45.2K Jan 16, 2025 Direct F1
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.

Transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).

Explanation of Responses:

Id Content
F1 This transaction was executed in multiple trades at prices ranging from $380.00 to $380.22. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.