Donald Umpleby III - Mar 4, 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: Mar 4, 2024
Transactions value $: $0
Form type: 4
Date filed: 3/6/2024, 12:23 PM
Previous filing: Feb 27, 2024
Next filing: May 30, 2024

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	CAT	Common Stock	Award	$0	+12.2K	+2.84%	$0.00	441K	Mar 4, 2024	Direct
holding	CAT	Common Stock						36K	Mar 4, 2024	Held by Children's Irrevocable Trust
holding	CAT	Common Stock						59K	Mar 4, 2024	Held by Irrevocable Trust for Descendants
holding	CAT	Common Stock						1.01K	Mar 4, 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	+39.6K		$0.00	39.6K	Mar 4, 2024	Common Stock	39.6K	$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.