Donald Umpleby III - Feb 26, 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 26, 2024
Transactions value $
$0
Form type
4
Date filed
2/27/2024, 03:36 PM
Previous filing
Feb 15, 2024
Next filing
Mar 6, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CAT Common Stock Gift $0 -8.08K -100% $0.00* 0 Feb 26, 2024 Held by Grantor Retained Annuity Trust F1, F2
transaction CAT Common Stock Gift $0 +8.08K +28.9% $0.00 36K Feb 26, 2024 Held by Children's Irrevocable Trust F3
holding CAT Common Stock 429K Feb 26, 2024 Direct F2
holding CAT Common Stock 59K Feb 26, 2024 Held by Irrevocable Trust for Descendants
holding CAT Common Stock 1.01K Feb 26, 2024 Held by 401(k) Plan F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Gift of shares to an irrevocable trust of which a member of the reporting person's immediate family serves as trustee and of which the reporting person's descendants are beneficiaries.
F2 Reflects 7,631 shares transferred on February 26, 2024 from Grantor Retained Annuity Trust to the reporting person.
F3 Represents 8,081 shares received from Grantor Retained Annuity Trusts.
F4 The information in this report is based on a 401(k) plan statement dated as of January 31, 2024.