CATERPILLAR INC — Director's Dealing 2022

Feb 10, 2022

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CATERPILLAR INC (CAT)
CIK: 0000018230
Period of Report: 2021-07-06

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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-07-06	Common Stock	A	42281	—	Acquired	174259	Direct
2022-02-08	Common Stock	F	17984	$200.77	Disposed	156275	Direct
2021-12-01	Common Stock	G	1520	—	Disposed	0	Indirect

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	21760	Indirect
Common Stock	15789	Indirect
Common Stock	59000	Indirect
Common Stock	33000	Indirect
Common Stock	24000	Indirect
Common Stock	1520	Indirect
Common Stock	971	Indirect

Footnotes

F1: Represents 33,000 shares transferred on July 6, 2021 and 24,000 shares transferred on August 3, 2021 to Grantor Retained Annuity Trusts.

F2: Represents 6,411 shares received on August 10, 2021 and 2,875 shares received on December 1, 2021 from Grantor Retained Annuity Trusts.

F3: Represents shares withheld from the reporting person to satisfy tax obligations arising from the vesting of performance - based restricted stock units granted on March 4, 2019.

F4: Gift of shares to an irrevocable trust of which a member of the reporting person's immediate family serves as trustee end of which the reporting person's decendants are beneficiaries.

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