Donald James Umpleby III - 04 Mar 2024 Form 4 Insider Report for CATERPILLAR INC (CAT)

Role
Chief Executive Officer, Director
Signature
/s/ Nicole Puza, POA for Donald J. Umpleby
Issuer symbol
CAT
Transactions as of
04 Mar 2024
Net transactions value
$0
Form type
4
Filing time
06 Mar 2024, 12:23:40 UTC
Previous filing
27 Feb 2024
Next filing
30 May 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 Award $0 +12,181 +2.8% $0.000000 441,355 04 Mar 2024 Direct
holding CAT Common Stock 36,040 04 Mar 2024 Held by Children's Irrevocable Trust
holding CAT Common Stock 59,000 04 Mar 2024 Held by Irrevocable Trust for Descendants
holding CAT Common Stock 1,009 04 Mar 2024 Held by 401(k) Plan F1

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 +39,561 $0.000000 39,561 04 Mar 2024 Common Stock 39,561 $338.65 Direct F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

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