Donald James Umpleby III - 13 Feb 2024 Form 4 Insider Report for CATERPILLAR INC (CAT)

Signature
/s/ Nicole Puza, POA for Donald J. Umpleby
Issuer symbol
CAT
Transactions as of
13 Feb 2024
Net transactions value
-$5,276,089
Form type
4
Filing time
15 Feb 2024, 06:04:53 UTC
Previous filing
19 Dec 2023
Next filing
27 Feb 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CAT Common Stock Award $0 +42,136 +11% $0.000000 438,378 13 Feb 2024 Direct
transaction CAT Common Stock Tax liability $5,276,089 -16,835 -3.8% $313.40 421,543 13 Feb 2024 Direct F1
holding CAT Common Stock 59,000 13 Feb 2024 Held by Irrevocable Trust for Descendants
holding CAT Common Stock 27,959 13 Feb 2024 Held by Children's Irrevocable Trust
holding CAT Common Stock 15,712 13 Feb 2024 Held by Grantor Retained Annuity
holding CAT Common Stock 1,011 13 Feb 2024 Held by 401(k) Plan F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

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