CATERPILLAR INC — Director's Dealing 2022

Dec 28, 2022

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CATERPILLAR INC (CAT)
CIK: 0000018230
Period of Report: 2022-12-27

Reporting Person: Johnson Denise C (Group President)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2022-12-27	Common Stock	M	23737	$127.60	Acquired	32342	Direct
2022-12-27	Common Stock	S	23737	$240.14	Disposed	8605	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2022-12-27	Employee Stock Options	$127.60	M	23737	Disposed	2030-03-02	Common Stock (23737)	Direct

Footnotes

F1: This transaction was executed as multiple trades, all executed at the price reported above. The reporting person herby undertakes to provide upon request of the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares at which the transaction was effected.

F2: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 2, 2020 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.