CATERPILLAR INC — Director's Dealing 2022

Nov 10, 2022

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CATERPILLAR INC (CAT)
CIK: 0000018230
Period of Report: 2022-05-26

Reporting Person: Umpleby III Donald J (Director, Chairman and CEO)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2022-11-08	Common Stock	M	151402	$127.60	Acquired	327979	Direct
2022-11-08	Common Stock	F	113927	$229.65	Disposed	214052	Direct
2022-05-26	Common Stock	G	13835	—	Disposed	0	Indirect
2022-08-18	Common Stock	G	7490	—	Disposed	0	Indirect

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2022-11-08	Employee Stock Options	$127.60	M	151402	Disposed	2030-03-02	Common Stock (151402)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	59000	Indirect
Common Stock	16321	Indirect
Common Stock	12304	Indirect
Common Stock	22845	Indirect
Common Stock	24297	Indirect
Common Stock	988	Indirect

Footnotes

F1: Reflects 7,925 shares transferred on May 26, 2022 and 36,674 shares transferred on August 18, 2022 from Grantor Retained Annuity Trusts.

F2: Reflects 24,297 shares transferred on February 24, 2022 to a Grantor Retained Annuity Trust.

F3: Gift of shares to an irrevocable trust of which a member of the reporting person's immediate family serves as trustee and of which the reporting person's descendants are beneficiaries.

F4: Reflects 13,835 shares transferred on May 26, 2022 and 7,490 shares transferred on August 18, 2022 from Grantor Retained Annuity Trusts.

F5: The information in this report is based on a 401(k) plan statement as of October 31, 2022.

F6: 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.