Derek Owens - Mar 1, 2024 Form 4 Insider Report for CATERPILLAR INC (CAT)

Role
CLO & General Counsel
Signature
/s/ Nicole Puza, POA for Derek Owens
Stock symbol
CAT
Transactions as of
Mar 1, 2024
Transactions value $
-$17,792
Form type
4
Date filed
3/5/2024, 04:50 PM
Previous filing
Jan 10, 2024
Next filing
Apr 2, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CAT Common Stock Tax liability -$17.8K -53 -3.08% $335.69 1.67K Mar 1, 2024 Direct F1, F2
transaction CAT Common Stock Award $0 +2.51K +150.39% $0.00 4.18K Mar 4, 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 +8.15K $0.00 8.15K Mar 4, 2024 Common Stock 8.15K $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.