Donald Umpleby III - Nov 7, 2024 Form 4 Insider Report for CATERPILLAR INC (CAT)

Role
Chairman & CEO
Signature
/s/ Nicole Puza, POA for Donald J. Umpleby
Stock symbol
CAT
Transactions as of
Nov 7, 2024
Transactions value $
-$24,719,660
Form type
4
Date filed
11/8/2024, 05:27 PM
Previous filing
May 30, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CAT Common Stock Gift $0 -2.4K -0.54% $0.00 439K Nov 7, 2024 Direct F1, F2
transaction CAT Common Stock Options Exercise $17.1M +87.1K +19.83% $196.70 526K Nov 7, 2024 Direct
transaction CAT Common Stock Tax liability -$24.7M -59.9K -11.38% $413.02 466K Nov 7, 2024 Direct
holding CAT Common Stock 59K Nov 7, 2024 Held by Irrevocable Trust for Descendants
holding CAT Common Stock 36K Nov 7, 2024 Held by Children's Irrevocable Trust
holding CAT Common Stock 1.02K Nov 7, 2024 Held by 401(k) Plan F3

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 Options Exercise -$17.1M -87.1K -66.67% $196.70 43.5K Nov 7, 2024 Common Stock 87.1K $196.70 Direct F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Represents a donation of ordinary shares to The Ayco Charitable Foundation, a Donor Advised Fund.
F2 Includes dividends accrued.
F3 The information in this report is based on a 401(k) plan dated as of October 31, 2024.
F4 The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 7, 2022 and vest equally in 1/3 increments on the first, second and thir anniversaries of the grant date.