Cheryl H. Johnson - Feb 7, 2023 Form 4 Insider Report for CATERPILLAR INC (CAT)

Role
Chief Human Resources Officer
Signature
/s/ Nicole Puza, POA for Cheryl Johnson
Stock symbol
CAT
Transactions as of
Feb 7, 2023
Transactions value $
-$454,836
Form type
4
Date filed
2/8/2023, 08:06 PM
Previous filing
Feb 6, 2023
Next filing
Mar 8, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CAT Common Stock Award $0 +4.17K +30.12% $0.00 18K Feb 7, 2023 Direct
transaction CAT Common Stock Tax liability -$455K -1.83K -10.14% $248.68 16.2K Feb 7, 2023 Direct F1
holding CAT Common Stock 197 Feb 7, 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.