Derek Owens - 01 Mar 2024 Form 4 Insider Report for CATERPILLAR INC (CAT)

Role: CLO & General Counsel
Signature: /s/ Nicole Puza, POA for Derek Owens
Issuer symbol: CAT
Transactions as of: 01 Mar 2024
Net transactions value: -$17,792
Form type: 4
Filing time: 05 Mar 2024, 16:50:01 UTC
Previous filing: 10 Jan 2024
Next filing: 02 Apr 2024
SEC: View on sec.gov

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	CAT	Common Stock	Tax liability	$17,792	-53	-3.1%	$335.69	1,669	01 Mar 2024	Direct	F1, F2
transaction	CAT	Common Stock	Award	$0	+2,510	+150%	$0.000000	4,179	04 Mar 2024	Direct

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
transaction	CAT	Employee Stock Options	Award	$0	+8,152		$0.000000	8,152	04 Mar 2024	Common Stock	8,152	$338.65	Direct	F3

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	Represents shared withheld from the reporting person to satisfy tax obligation arising from the vesting of restricted stock units granted March 1, 2021.
F2	Includes adjustments for dividends accrued and an adjustment for previously unreported holdings of 960 shares
F3	The stock options were granted pursuant to the Caterpillar Inc. 2023 Long Term Incentive Plan and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.