Derek Owens - Mar 3, 2025 Form 4 Insider Report for CATERPILLAR INC (CAT)

Role: CLO & General Counsel
Signature: /s/ Nicole Puza, POA for Derek Owens
Stock symbol: CAT
Transactions as of: Mar 3, 2025
Transactions value $: -$67,337
Form type: 4
Date filed: 3/5/2025, 06:36 PM
Previous filing: Feb 13, 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	+2.69K	+58.28%	$0.00	7.31K	Mar 3, 2025	Direct	F1
transaction	CAT	Common Stock	Tax liability	-$67.3K	-207	-2.83%	$325.30	7.1K	Mar 4, 2025	Direct	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	+8.44K		$0.00	8.44K	Mar 3, 2025	Common Stock	8.44K	$332.04	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	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 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.