Donald Umpleby III - Feb 7, 2023 Form 4 Insider Report for CATERPILLAR INC (CAT)

Role
Chief Executive Officer, Director
Signature
/s/ Nicole Puza, POA for Donald J. Umpleby
Stock symbol
CAT
Transactions as of
Feb 7, 2023
Transactions value $
-$5,216,809
Form type
4
Date filed
2/8/2023, 08:07 PM
Previous filing
Nov 10, 2022
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 +49.3K +23.01% $0.00 263K Feb 7, 2023 Direct
transaction CAT Common Stock Tax liability -$5.22M -21K -7.97% $248.68 242K Feb 7, 2023 Direct F1
holding CAT Common Stock 59K Feb 7, 2023 Held by Irrevocable Trust for Descendants
holding CAT Common Stock 16.3K Feb 7, 2023 Held by Grantor Retained Annuity
holding CAT Common Stock 12.3K Feb 7, 2023 Held by Grantor Retained Annuity
holding CAT Common Stock 22.8K Feb 7, 2023 Held by Children's Irrevocable Trust
holding CAT Common Stock 24.3K Feb 7, 2023 Held by Grantor Retained Annuity
holding CAT Common Stock 991 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.