Cheryl Johnson - Feb 13, 2024 Form 4 Insider Report for CATERPILLAR INC (CAT)

Role
Chief Human Resources Officer
Signature
/s/ Nicole Puza, POA for Cheryl Johnson
Stock symbol
CAT
Transactions as of
Feb 13, 2024
Transactions value $
-$375,140
Form type
4
Date filed
2/15/2024, 06:01 AM
Previous filing
Dec 7, 2023
Next filing
Feb 27, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CAT Common Stock Award $0 +4.21K +25.5% $0.00 20.7K Feb 13, 2024 Direct F1
transaction CAT Common Stock Tax liability -$375K -1.2K -5.77% $313.40 19.5K Feb 13, 2024 Direct F2
holding CAT Common Stock 229 Feb 13, 2024 Held by 401(k) Plan F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Includes adjustments for dividends accrued.
F2 Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of performance-based stock units granted March 1, 2021.
F3 The information in this report is based on a 401(k) plan statement dated as of January 31, 2024.