Jason Kaiser - Jan 1, 2024 Form 3 Insider Report for CATERPILLAR INC (CAT)

Role
Group President
Signature
/s/ Nicole Puza, POA for Jason Kaiser
Stock symbol
CAT
Transactions as of
Jan 1, 2024
Transactions value $
$0
Form type
3
Date filed
1/10/2024, 11:00 AM
Next filing
Feb 15, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding CAT Common Stock 1.71K Jan 1, 2024 Direct
holding CAT Common Stock 360 Jan 1, 2024 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
holding CAT Employee Stock Options Jan 1, 2024 Common Stock 8.88K $219.76 Direct F2
holding CAT Employee Stock Options Jan 1, 2024 Common Stock 12.1K $196.70 Direct F3
holding CAT Employee Stock Options Jan 1, 2024 Common Stock 7.92K $253.98 Direct F4
holding CAT Phantom Stock Units Jan 1, 2024 Common Stock 3.91K Direct F5, F6, F7
* 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 December 31, 2023.
F2 The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on 03/01/2021 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 03/07/2022 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 03/06/2023 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.
F5 The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service.
F6 Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock.
F7 Phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates.

Remarks:

Exhibit 24 Power of Attorney