Cheryl H. Johnson - 07 Feb 2023 Form 4 Insider Report for CATERPILLAR INC (CAT)

Role
Chief Human Resources Officer
Signature
/s/ Nicole Puza, POA for Cheryl Johnson
Issuer symbol
CAT
Transactions as of
07 Feb 2023
Net transactions value
-$454,836
Form type
4
Filing time
08 Feb 2023, 20:06:16 UTC
Previous filing
06 Feb 2023
Next filing
08 Mar 2023
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CAT Common Stock Award $0 +4,174 +30% $0.000000 18,031 07 Feb 2023 Direct
transaction CAT Common Stock Tax liability $454,836 -1,829 -10% $248.68 16,202 07 Feb 2023 Direct F1
holding CAT Common Stock 197 07 Feb 2023 Held by 401(k) Plan F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of performance-based stock units granted March 2, 2020.
F2 The information in this report is based on a 401(k) plan statement dated as of January 31, 2023.