Donald James Umpleby III - 07 Nov 2024 Form 4 Insider Report for CATERPILLAR INC (CAT)

Role
Chairman & CEO
Signature
/s/ Nicole Puza, POA for Donald J. Umpleby
Issuer symbol
CAT
Transactions as of
07 Nov 2024
Net transactions value
-$24,719,660
Form type
4
Filing time
08 Nov 2024, 17:27:08 UTC
Previous filing
30 May 2024
Next filing
13 Feb 2025
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CAT Common Stock Gift $0 -2,400 -0.54% $0.000000 439,049 07 Nov 2024 Direct F1, F2
transaction CAT Common Stock Options Exercise $17,123,325 +87,053 +20% $196.70 526,102 07 Nov 2024 Direct
transaction CAT Common Stock Tax liability $24,719,660 -59,851 -11% $413.02 466,251 07 Nov 2024 Direct
holding CAT Common Stock 59,000 07 Nov 2024 Held by Irrevocable Trust for Descendants
holding CAT Common Stock 36,040 07 Nov 2024 Held by Children's Irrevocable Trust
holding CAT Common Stock 1,020 07 Nov 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 $17,123,325 -87,053 -67% $196.70 43,526 07 Nov 2024 Common Stock 87,053 $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.