Other Information
−Removed: 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.
−Removed: 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.
−Removed: 10.1 Form of Restricted Stock Unit Award pursuant to the 2023 Long-Term Incentive Plan *
−Removed: 10.2 Form of Restricted Stock Unit Award for Directors pursuant to the 2023 Long-Term Incentive Plan *
−Removed: 10.3 Form of Nonqualified Stock Options Award pursuant to the 2023 Long-Term Incentive Plan *
−Removed: 10.4 Form of Performance-Based Restricted Stock Unit Award pursuant to the 2023 Long-Term Incentive Plan *
−Removed: 10.5 Consulting Agreement between Suzette M.
−Removed: Long and Caterpillar Inc., dated January 29, 2024
+Added: On May 22, 2024 , Gerald Johnson , a member of the Company's Board of Directors , entered into a Rule 10b5-1 purchase plan intended to satisfy the affirmative defense of Rule 10b5-1(c) under the Securities Exchange Act of 1934, as amended.
+Added: The purchase plan will be in effect until the earlier of (1) May 9, 2025 and (2) the date on which an aggregate of 400 shares of our common stock have been purchased under the plan.
31.1 Certification of Chief Executive Officer of Caterpillar Inc., as required pursuant to Section 302 of the Sarbanes-Oxley Act of 2002
9 unchanged sentences
104 Cover Page Interactive File (embedded within the Inline XBRL document and included in Exhibit 101)
−Removed: *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.
2 unchanged sentences
CATERPILLAR INC.
−Removed: May 1, 2024 /s/ D.
+Added: August 7, 2024 /s/ D.
James Umpleby III Chairman of the Board and Chief Executive Officer
James Umpleby III
−Removed: May 1, 2024 /s/ Andrew R.J.
+Added: August 7, 2024 /s/ Andrew R.J.
Bonfield Chief Financial Officer
−Removed: May 1, 2024 /s/ Derek Owens Chief Legal Officer and General Counsel
−Removed: May 1, 2024 /s/ William E.
+Added: August 7, 2024 /s/ Derek Owens Chief Legal Officer and General Counsel
+Added: August 7, 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.