Joseph E. Creed - May 9, 2025 Form 4 Insider Report for CATERPILLAR INC (CAT)

Role
Chief Executive Officer
Signature
/s/ Nicole Puza, POA for Joseph E. Creed
Stock symbol
CAT
Transactions as of
May 9, 2025
Transactions value $
$0
Form type
4
Date filed
5/13/2025, 04:09 PM
Previous filing
Apr 28, 2025
Next filing
May 27, 2025
SEC
View on sec.gov

Reporting Owners (1)

Name Relationship Address Signature Signature date CIK
Creed Joseph E Chief Executive Officer 5205 N. O'CONNOR BOULEVARD, SUITE 100, IRVING /s/ Nicole Puza, POA for Joseph E. Creed 2025-05-13 0001739859

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CAT Common Stock Award $0 +4.33K +18.17% $0.00 28.2K May 9, 2025 Direct
holding CAT Common Stock 11.7K May 9, 2025 Held by 401(k) Plan. F1

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 +13.1K $0.00 13.1K May 9, 2025 Common Stock 13.1K $325.62 Direct F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The information in this report is based on a 401(k) plan statement as of April 30, 2025.
F2 The stock options were granted pursuant to the Caterpillar Inc 2023 Long Term Incentive Plan and vest equally in 1/3 increments. 1/3 vests on the first anniversary of the grant date; 1/3 vests on March 3, 2027 and 1/3 vests on March 3, 2028.