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

Role: Chief Human Resources Officer
Signature: /s/ Nicole Puza, POA for Cheryl Johnson
Stock symbol: CAT
Transactions as of: Mar 4, 2024
Transactions value $: $0
Form type: 4
Date filed: 3/6/2024, 12:21 PM
Previous filing: Feb 27, 2024
Next filing: May 2, 2024
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	+1.85K	+9.42%	$0.00	21.5K	Mar 4, 2024	Direct	F1
holding	CAT	Common Stock						232	Mar 4, 2024	Held by 401(k) Plan	F2

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	+5.99K		$0.00	5.99K	Mar 4, 2024	Common Stock	5.99K	$338.65	Direct	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	The information in this report is based on a 401(k) plan statement dated as of February 29, 2024.
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.