Joseph E. Creed - 04 Mar 2024 Form 4 Insider Report for CATERPILLAR INC (CAT)

Role: Chief Operating Officer
Signature: /s/ Nicole Puza, POA for Joseph E. Creed
Issuer symbol: CAT
Transactions as of: 04 Mar 2024
Net transactions value: $0
Form type: 4
Filing time: 06 Mar 2024, 12:24:36 UTC
Previous filing: 15 Feb 2024
Next filing: 12 Mar 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	+5,168	+67%	$0.000000	12,937	04 Mar 2024	Direct
holding	CAT	Common Stock						11,175	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	+16,783		$0.000000	16,783	04 Mar 2024	Common Stock	16,783	$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.