ANDREW R. J. BONFIELD - 17 Jul 2025 Form 4 Insider Report for CATERPILLAR INC (CAT)

Role
Chief Financial Officer
Signature
/s/ Nicole Puza, POA for Andrew R J Bonfield
Issuer symbol
CAT
Transactions as of
17 Jul 2025
Transactions value $
-$11,441,981
Form type
4
Filing time
21 Jul 2025, 16:06:14 UTC
Previous filing
05 Mar 2025
Next filing
02 Dec 2025
SEC
View on sec.gov

Reporting Owners (1)

Name Relationship Address Signature Signature date CIK
BONFIELD ANDREW R J Chief Financial Officer 5205 N. O'CONNOR BOULEVARD, SUITE 100, IRVING /s/ Nicole Puza, POA for Andrew R J Bonfield 21 Jul 2025 0001199292

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CAT Common Stock Options Exercise $2.79M +14.2K +25.62% $196.70 69.6K 17 Jul 2025 Direct
transaction CAT Common Stock Tax liability -$4.03M -9.68K -13.92% $416.39 59.9K 17 Jul 2025 Direct
transaction CAT Common Stock Options Exercise $5.92M +23.3K +38.93% $253.98 83.2K 17 Jul 2025 Direct
transaction CAT Common Stock Tax liability -$7.41M -17.8K -21.38% $416.39 65.4K 17 Jul 2025 Direct

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 -$2.79M -14.2K -100% $196.70 0 17 Jul 2025 Common Stock 14.2K $196.70 Direct F1
transaction CAT Employee Stock Options Options Exercise -$5.92M -23.3K -66.67% $253.98 11.7K 17 Jul 2025 Common Stock 23.3K $253.98 Direct F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 7, 2022 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.
F2 The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 6, 2023 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.