Joseph E. Creed - Jan 6, 2023 Form 4 Insider Report for CATERPILLAR INC (CAT)

Role
Group President
Signature
/s/ Nicole Puza, POA for Joseph E. Creed
Stock symbol
CAT
Transactions as of
Jan 6, 2023
Transactions value $
-$4,555,206
Form type
4
Date filed
1/9/2023, 12:37 PM
Previous filing
Dec 28, 2022
Next filing
Feb 8, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CAT Common Stock Options Exercise $2.76M +18.3K $151.12 18.3K Jan 6, 2023 Direct
transaction CAT Common Stock Sale -$4.56M -18.3K -100% $249.00 0 Jan 6, 2023 Direct F1
holding CAT Common Stock 10.6K Jan 6, 2023 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 -$2.76M -18.3K -100% $151.12 0 Jan 6, 2023 Common Stock 18.3K $151.12 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 This transaction was executed as multiple trades, all executed at the price reported above. The reporting person herby undertakes to provide upon request of the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares at which the transaction was effected.
F2 The information in this report is based on a 401(k) plan statement dated as of December 31, 2022.
F3 The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 5, 2018 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.