Derek Owens - Jan 1, 2024 Form 3 Insider Report for CATERPILLAR INC (CAT)

Role
CLO & General Counsel
Signature
/s/ Nicole Puza, POA for Derek Owens
Stock symbol
CAT
Transactions as of
Jan 1, 2024
Transactions value $
$0
Form type
3
Date filed
1/10/2024, 10:59 AM
Next filing
Mar 5, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding CAT Common Stock 760 Jan 1, 2024 Direct

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
holding CAT Employee Stock Options Jan 1, 2024 Common Stock 2.32K $196.70 Direct F1
holding CAT Employee Stock Options Jan 1, 2024 Common Stock 1.65K $253.98 Direct F2
* 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 on 03/07/2022 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.
F2 The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on 03/06/2023 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.

Remarks:

Exhibit 24 Power of Attorney