Other Information
−Removed: On August 22, 2023 , Andrew Bonfield , the Company's Chief Financial Officer , entered into a Rule 10b5-1 sales plan intended to satisfy the affirmative defense of Rule 10b5-1(c) under the Securities Exchange Act of 1934, as amended.
−Removed: The sales plan will be in effect until the earlier of (1) November 20, 2024 and (2) the date on which an aggregate of 30,000 shares of our common stock have been sold under the plan.
−Removed: Table of Conte n t s
−Removed: 10.1 364-Day Credit Agreement dated August 31, 2023 (incorporated by reference from Exhibit 10.1 to the Company’s Current Report on Form 8-K filed September 1, 2023).
−Removed: 10.2 Local Currency Addendum to the 364-Day Credit Agreement dated August 31, 2023 (incorporated by reference from Exhibit 10.2 to the Company’s Current Report on Form 8-K filed September 1, 2023).
−Removed: 10.3 Japan Local Currency Addendum to the 364-Day Credit Agreement dated August 31, 2023 (incorporated by reference from Exhibit 10.3 to the Company’s Current Report on Form 8-K filed September 1, 2023).
−Removed: 10.4 Amendment No.
−Removed: 1 to Third Amended and Restated Credit Agreement (Three-Year Facility) dated August 31, 2023 (incorporated by reference from Exhibit 10.4 to the Company’s Current Report on Form 8-K filed September 1, 2023).
−Removed: 10.5 Amendment No.
−Removed: 1 to Third Amended and Restated Credit Agreement (Five-Year Facility) dated August 31, 2023 (incorporated by reference from Exhibit 10.5 to the Company’s Current Report on Form 8-K filed September 1, 2023).
+Added: On February 29, 2024 , Cheryl Johnson , the Company's Chief Human Resources Officer , entered into a Rule 10b5-1 sales plan intended to satisfy the affirmative defense of Rule 10b5-1(c) under the Securities Exchange Act of 1934, as amended.
+Added: The sales plan will be in effect until the earlier of (1) August 29, 2024 and (2) the date on which an aggregate of 3,016 shares of our common stock have been sold under the plan.
+Added: 10.1 Form of Restricted Stock Unit Award pursuant to the 2023 Long-Term Incentive Plan *
+Added: 10.2 Form of Restricted Stock Unit Award for Directors pursuant to the 2023 Long-Term Incentive Plan *
+Added: 10.3 Form of Nonqualified Stock Options Award pursuant to the 2023 Long-Term Incentive Plan *
+Added: 10.4 Form of Performance-Based Restricted Stock Unit Award pursuant to the 2023 Long-Term Incentive Plan *
+Added: 10.5 Consulting Agreement between Suzette M.
+Added: Long and Caterpillar Inc., dated January 29, 2024
31.1 Certification of Chief Executive Officer of Caterpillar Inc., as required pursuant to Section 302 of the Sarbanes-Oxley Act of 2002
12 unchanged sentences
In particular, any representations and warranties made by us in these agreements or other documents were made solely within the specific context of the relevant agreement or document and may not describe the actual state of affairs as of the date they were made or at any other time.
−Removed: Table of Conte n t s
Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.
CATERPILLAR INC.
−Removed: November 1, 2023 /s/ D.
+Added: May 1, 2024 /s/ D.
James Umpleby III Chairman of the Board and Chief Executive Officer
James Umpleby III
−Removed: November 1, 2023 /s/ Andrew R.J.
+Added: May 1, 2024 /s/ Andrew R.J.
Bonfield Chief Financial Officer
−Removed: November 1, 2023 /s/ Derek Owens Senior Vice President and General Counsel
−Removed: November 1, 2023 /s/ William E.
+Added: May 1, 2024 /s/ Derek Owens Chief Legal Officer and General Counsel
+Added: May 1, 2024 /s/ William E.
Schaupp Vice President and Chief Accounting Officer
Compared sentence by sentence after normalising whitespace, quotation marks, case and digits, so re-formatting and restated figures do not read as changed language. Wording changes appear as one removal and one addition. The current filing and the prior one are authoritative.