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

Role
Chief Executive Officer, Director
Signature
/s/ Nicole Puza, POA for Donald J. Umpleby
Stock symbol
CAT
Transactions as of
Feb 13, 2024
Transactions value $
-$5,276,089
Form type
4
Date filed
2/15/2024, 06:04 AM
Previous filing
Dec 19, 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 +42.1K +10.63% $0.00 438K Feb 13, 2024 Direct
transaction CAT Common Stock Tax liability -$5.28M -16.8K -3.84% $313.40 422K Feb 13, 2024 Direct F1
holding CAT Common Stock 59K Feb 13, 2024 Held by Irrevocable Trust for Descendants
holding CAT Common Stock 28K Feb 13, 2024 Held by Children's Irrevocable Trust
holding CAT Common Stock 15.7K Feb 13, 2024 Held by Grantor Retained Annuity
holding CAT Common Stock 1.01K Feb 13, 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.