Donald James Umpleby III - 11 Feb 2025 Form 4 Insider Report for CATERPILLAR INC (CAT)

Signature
/s/ Nicole Puza, POA for D. James Umpleby III
Issuer symbol
CAT
Transactions as of
11 Feb 2025
Net transactions value
-$5,136,920
Form type
4
Filing time
13 Feb 2025, 14:41:51 UTC
Previous filing
08 Nov 2024
Next filing
05 Mar 2025

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CAT Common Stock Award $0 +36,126 +7.7% $0.000000 502,422 11 Feb 2025 Direct F1
transaction CAT Common Stock Tax liability $5,136,920 -14,163 -2.8% $362.70 488,259 11 Feb 2025 Direct F2
holding CAT Common Stock 59,000 11 Feb 2025 Held by Irrevocable Trust for Descendents
holding CAT Common Stock 36,040 11 Feb 2025 Held by Children's Irrevocable Trust
holding CAT Common Stock 1,024 11 Feb 2025 Held by 401(k) Plan F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Includes adjustments for dividends accrued.
F2 Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of performance-based restricted stock units granted March 7, 2022.
F3 The information in this report is based on a 401(k) plan statement dated as of January 31, 2025.