Cheryl Johnson - Mar 4, 2024 Form 4 Insider Report for CATERPILLAR INC (CAT)

Role
Chief Human Resources Officer
Signature
/s/ Nicole Puza, POA for Cheryl Johnson
Stock symbol
CAT
Transactions as of
Mar 4, 2024
Transactions value $
$0
Form type
4
Date filed
3/6/2024, 12:21 PM
Previous filing
Feb 27, 2024
Next filing
May 2, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CAT Common Stock Award $0 +1.85K +9.42% $0.00 21.5K Mar 4, 2024 Direct F1
holding CAT Common Stock 232 Mar 4, 2024 Held by 401(k) Plan F2

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 +5.99K $0.00 5.99K Mar 4, 2024 Common Stock 5.99K $338.65 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Includes adjustments for dividends accrued.
F2 The information in this report is based on a 401(k) plan statement dated as of February 29, 2024.
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.