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

Role
Chairman and CEO, Director
Signature
/s/ Nicole Puza, POA for Donald J. Umpleby III
Issuer symbol
CAT
Transactions as of
18 Dec 2023
Net transactions value
+$33,739,710
Form type
4
Filing time
19 Dec 2023, 16:50:35 UTC
Previous filing
07 Aug 2023
Next filing
15 Feb 2024
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CAT Common Stock Options Exercise $27,646,497 +182,944 +67% $151.12 457,374 18 Dec 2023 Direct
transaction CAT Common Stock Tax liability $38,267,658 -133,467 -29% $286.72 323,907 18 Dec 2023 Direct
transaction CAT Common Stock Options Exercise $22,636,135 +163,615 +51% $138.35 487,522 18 Dec 2023 Direct
transaction CAT Common Stock Tax liability $33,077,740 -115,366 -24% $286.72 372,156 18 Dec 2023 Direct
transaction CAT Common Stock Options Exercise $9,659,448 +75,701 +20% $127.60 447,857 18 Dec 2023 Direct
transaction CAT Common Stock Tax liability $14,799,053 -51,615 -12% $286.72 396,242 18 Dec 2023 Direct
holding CAT Common Stock 59,000 18 Dec 2023 Held by Irrevocable Trust for Descendants
holding CAT Common Stock 27,959 18 Dec 2023 Held by Children's Irrevocable Trust
holding CAT Common Stock 15,712 18 Dec 2023 Held by Grantor Retained Annuity
holding CAT Common Stock 1,008 18 Dec 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 $27,646,497 +182,944 $151.12 0 18 Dec 2023 Common Stock 182,944 $151.12 Direct F2
transaction CAT Employee Stock Options Options Exercise $22,636,135 +163,615 $138.35 0 18 Dec 2023 Common Stock 163,615 $138.35 Direct F3
transaction CAT Employee Stock Options Options Exercise $9,659,448 +75,701 $127.60 0 18 Dec 2023 Common Stock 75,701 $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