Item 5. Other Information
Item 5. Other Information
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. 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.
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Item 6. Exhibits
10.1 Form of Restricted Stock Unit Award pursuant to the 2023 Long-Term Incentive Plan *
10.2 Form of Restricted Stock Unit Award for Directors pursuant to the 2023 Long-Term Incentive Plan *
10.3 Form of Nonqualified Stock Options Award pursuant to the 2023 Long-Term Incentive Plan *
10.4 Form of Performance-Based Restricted Stock Unit Award pursuant to the 2023 Long-Term Incentive Plan *
10.5 Consulting Agreement between Suzette M. 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
31.2 Certification of Chief Financial Officer of Caterpillar Inc., as required pursuant to Section 302 of the Sarbanes-Oxley Act of 2002
32 Certification of Chief Executive Officer of Caterpillar Inc. and Chief Financial Officer of Caterpillar Inc., as required pursuant to Section 906 of the Sarbanes-Oxley Act of 2002
101.INS Inline XBRL Instance Document (the instance document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document)
101.SCH Inline XBRL Taxonomy Extension Schema Document
101.CAL Inline XBRL Taxonomy Extension Calculation Linkbase Document
101.DEF Inline XBRL Taxonomy Extension Definition Linkbase Document
101.LAB Inline XBRL Taxonomy Extension Label Linkbase Document
101.PRE Inline XBRL Taxonomy Extension Presentation Linkbase Document
104 Cover Page Interactive File (embedded within the Inline XBRL document and included in Exhibit 101)
*Management contracts and compensatory plans and arrangements required to be filed as exhibits pursuant to Item 6 of this report.
The agreements and other documents filed as exhibits to this report are not intended to provide factual information or other disclosure other than with respect to the terms of the agreements or other documents themselves, and you should not rely on them for that purpose. 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.
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SIGNATURES
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.
May 1, 2024 /s/ D. James Umpleby III Chairman of the Board and Chief Executive Officer
D. James Umpleby III
May 1, 2024 /s/ Andrew R.J. Bonfield Chief Financial Officer
Andrew R.J. Bonfield
May 1, 2024 /s/ Derek Owens Chief Legal Officer and General Counsel
Derek Owens
May 1, 2024 /s/ William E. Schaupp Vice President and Chief Accounting Officer
William E. Schaupp
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