Donald Umpleby III - Mar 6, 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
Mar 6, 2023
Transactions value $
$0
Form type
4
Date filed
3/8/2023, 12:40 PM
Previous filing
Feb 8, 2023
Next filing
Jun 2, 2023

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 Award $0 +112K $0.00 112K Mar 6, 2023 Common Stock 112K $253.98 Direct F1
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The stock options were granted pursuant to the Caterpillar Inc. 2014 Long Term Incentive Plan and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.