Cheryl H. Johnson - 04 Mar 2024 Form 4 Insider Report for CATERPILLAR INC (CAT)

Reporting relationship: Chief Human Resources Officer
Issuer ticker: CAT
Reported as of: 04 Mar 2024
Net transaction value: $0
SEC form: 4
Accepted by SEC: 06 Mar 2024, 12:21:23 UTC
Prior SEC filing: 27 Feb 2024
Next SEC filing: 02 May 2024
Source filing: View source filing
Reporting owner signature: /s/ Nicole Puza, POA for Cheryl Johnson

Key filing fact

Cheryl H. Johnson filed Form 4 for CATERPILLAR INC (CAT) on 06 Mar 2024.

Key facts

This page summarizes Cheryl H. Johnson's Form 4 filing for CATERPILLAR INC (CAT).
2 reported transactions and 1 derivative row are listed below.
Accepted by SEC: 06 Mar 2024, 12:21.

Change

Previous filing in this sequence was filed on 27 Feb 2024.
Current net transaction value: $0.

Research use

This tells you what this filing adds before you inspect full transaction and derivative tables.
You can trace every row back to the original SEC filing document.

Evidence

Filed on Form 4

Ownership activity is grounded in SEC Form 4 disclosures.

View source filing

Reported non-derivative transactions

Shares, units, or other non-derivative securities reported in this filing.

CAT transaction

Common Stock

Award

Transaction value: $0
Shares: +1,846
Change %: +9.4%
Price: $0.000000
Shares after: 21,452
Date: 04 Mar 2024
Ownership: Direct
Footnotes: F1

CAT holding

Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 232
Date: 04 Mar 2024
Ownership: Held by 401(k) Plan
Footnotes: F2

Reported derivative securities

Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.

CAT transaction Derivative

Employee Stock Options

Award

Transaction value: $0
Shares: +5,994
Change %
Price: $0.000000
Shares after: 5,994
Date: 04 Mar 2024
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 5,994
Exercise price: $338.65
Footnotes: F3

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Explanation of responses 3 footnotes

Footnote F1

Includes adjustments for dividends accrued.

Footnote F2

The information in this report is based on a 401(k) plan statement dated as of February 29, 2024.

Footnote F3

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.