Donald James Umpleby III - 03 Mar 2025 Form 4 Insider Report for CATERPILLAR INC (CAT)

Role
Chief Executive Officer
Signature
/s/ Nicole Puza, POA for Donald J Umpleby III
Issuer symbol
CAT
Transactions as of
03 Mar 2025
Net transactions value
-$497,058
Form type
4
Filing time
05 Mar 2025, 18:38:27 UTC
Previous filing
13 Feb 2025
Next filing
29 May 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 Award $0 +12,733 +2.6% $0.000000 501,041 03 Mar 2025 Direct F1
transaction CAT Common Stock Tax liability $497,058 -1,528 -0.3% $325.30 499,513 04 Mar 2025 Direct F2
holding CAT Common Stock 59,000 03 Mar 2025 Held by Irrevocable Trust for Descendants
holding CAT Common Stock 36,040 03 Mar 2025 Held by Children's Irrevocable Trust
holding CAT Common Stock 1,024 03 Mar 2025 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 Award $0 +39,915 $0.000000 39,915 03 Mar 2025 Common Stock 39,915 $332.04 Direct F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Includes adjustment for dividends accrued.
F2 Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of restricted stock units granted March 4, 2024.
F3 The information in this report is based on a 401(k) plan statement dated as of February 28, 2025.
F4 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.