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Filing Details

Accession Number:: 0001104659-23-011402
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2023-02-06 21:55:15
Reporting Period:: 2022-11-09

Accepted Time:: 2023-02-06 21:55:15
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
18230	Caterpillar Inc	CAT	Construction Machinery & Equip (3531)	370602744

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1552649	H Cheryl Johnson	5205 N. O'Connor Boulevard, Suite 100 Irving TX 75039	Chief Human Resources Officer	No	Yes	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Disposition	2022-11-09	6,607	$0.00	14,440	No	4	G	Direct
Common Stock	Disposition	2023-02-03	693	$0.00	13,857	No	4	G	Direct
Common Stock	Acquisiton	2023-02-03	14,260	$138.35	28,117	No	4	M	Direct
Common Stock	Disposition	2023-02-03	14,260	$250.27	13,857	No	4	S	Direct
Common Stock	Acquisiton	2023-02-03	9,623	$127.60	23,480	No	4	M	Direct
Common Stock	Disposition	2023-02-03	9,623	$250.68	13,857	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	G	Direct
No	4	G	Direct
No	4	M	Direct
No	4	S	Direct
No	4	M	Direct
No	4	S	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Employee Stock Options	Disposition	2023-01-20	18,295	$0.00	18,295	$151.12
Common Stock	Employee Stock Options	Disposition	2023-01-20	14,260	$0.00	14,260	$138.35
Common Stock	Employee Stock Options	Disposition	2023-01-20	16,039	$0.00	16,039	$127.60
Common Stock	Employee Stock Options	Disposition	2023-01-20	15,541	$0.00	15,541	$219.76
Common Stock	Employee Stock Options	Disposition	2023-01-20	12,091	$0.00	12,091	$196.70
Common Stock	Employee Stock Options	Disposition	2023-02-03	14,260	$138.35	14,260	$138.35
Common Stock	Employee Stock Options	Disposition	2023-02-03	9,623	$127.60	9,623	$127.60

Remaning Holdings	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
18,294	2028-03-05	No	4	J	Direct
14,260	2029-03-04	No	4	J	Direct
16,038	2030-03-02	No	4	J	Direct
15,541	2031-03-01	No	4	J	Direct
12,090	2032-03-07	No	4	J	Direct
0	2029-03-04	No	4	M	Direct
6,415	2030-03-02	No	4	M	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	197	Indirect	Held by 401(K) Plan

Footnotes

Includes adjustments for dividends accrued.
This transaction was executed in multiple trades at prices ranging from $249.83 to $250.50. 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.
This transaction was executed in multiple trades at prices ranging from $250.50 to $250.865. 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.
The information in this report is based on a 401(k) statement dated as of January 31, 2023.
Reflects stock options transferred to a former spouse pursuant to a domestic relations order.
The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 5, 2018 and vested equally in 1/3 increments on the first, second and third anniversaries of the grant date.
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.
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.
The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 1, 2021 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.
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.