Donald J. Umpleby III - Mar 3, 2025 Form 4 Insider Report for CATERPILLAR INC (CAT)

Role: Chief Executive Officer
Signature: /s/ Nicole Puza, POA for Donald J Umpleby III
Stock symbol: CAT
Transactions as of: Mar 3, 2025
Transactions value $: -$497,058
Form type: 4
Date filed: 3/5/2025, 06:38 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	+12.7K	+2.61%	$0.00	501K	Mar 3, 2025	Direct	F1
transaction	CAT	Common Stock	Tax liability	-$497K	-1.53K	-0.3%	$325.30	500K	Mar 4, 2025	Direct	F2
holding	CAT	Common Stock						59K	Mar 3, 2025	Held by Irrevocable Trust for Descendants
holding	CAT	Common Stock						36K	Mar 3, 2025	Held by Children's Irrevocable Trust
holding	CAT	Common Stock						1.02K	Mar 3, 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	+39.9K		$0.00	39.9K	Mar 3, 2025	Common Stock	39.9K	$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.