Donald Umpleby III - Dec 18, 2023 Form 4 Insider Report for CATERPILLAR INC (CAT)

Role
Chairman and CEO, Director
Signature
/s/ Nicole Puza, POA for Donald J. Umpleby III
Stock symbol
CAT
Transactions as of
Dec 18, 2023
Transactions value $
$33,739,710
Form type
4
Date filed
12/19/2023, 04:50 PM
Previous filing
Aug 7, 2023
Next filing
Feb 15, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CAT Common Stock Options Exercise $27.6M +183K +66.66% $151.12 457K Dec 18, 2023 Direct
transaction CAT Common Stock Tax liability -$38.3M -133K -29.18% $286.72 324K Dec 18, 2023 Direct
transaction CAT Common Stock Options Exercise $22.6M +164K +50.51% $138.35 488K Dec 18, 2023 Direct
transaction CAT Common Stock Tax liability -$33.1M -115K -23.66% $286.72 372K Dec 18, 2023 Direct
transaction CAT Common Stock Options Exercise $9.66M +75.7K +20.34% $127.60 448K Dec 18, 2023 Direct
transaction CAT Common Stock Tax liability -$14.8M -51.6K -11.52% $286.72 396K Dec 18, 2023 Direct
holding CAT Common Stock 59K Dec 18, 2023 Held by Irrevocable Trust for Descendants
holding CAT Common Stock 28K Dec 18, 2023 Held by Children's Irrevocable Trust
holding CAT Common Stock 15.7K Dec 18, 2023 Held by Grantor Retained Annuity
holding CAT Common Stock 1.01K Dec 18, 2023 Held by 401(k) Plan F1

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 Options Exercise $27.6M +183K $151.12 0 Dec 18, 2023 Common Stock 183K $151.12 Direct F2
transaction CAT Employee Stock Options Options Exercise $22.6M +164K $138.35 0 Dec 18, 2023 Common Stock 164K $138.35 Direct F3
transaction CAT Employee Stock Options Options Exercise $9.66M +75.7K $127.60 0 Dec 18, 2023 Common Stock 75.7K $127.60 Direct F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The information in this report is based on a 401(k) plan statement dated as of November 30, 2023.
F2 The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 5, 2018 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.
F3 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
F4 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