CATERPILLAR INC — Director's Dealing 2023

Aug 31, 2023

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CATERPILLAR INC (CAT)
CIK: 0000018230
Period of Report: 2023-08-29

Reporting Person: Fassino Anthony D. (Group President)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2023-08-29	Common Stock	M	2693	$74.77	Acquired	18875	Direct
2023-08-29	Common Stock	F	721	$279.00	Disposed	18154	Direct
2023-08-29	Common Stock	S	1972	$279.00	Disposed	16182	Direct
2023-08-29	Common Stock	M	1447	$95.66	Acquired	17629	Direct
2023-08-29	Common Stock	F	496	$279.00	Disposed	17133	Direct
2023-08-29	Common Stock	S	951	$279.00	Disposed	16182	Direct
2023-08-30	Common Stock	M	4141	$95.66	Disposed	20323	Direct
2023-08-30	Common Stock	F	1401	$282.57	Disposed	18922	Direct
2023-08-30	Common Stock	S	2740	$282.57	Disposed	16182	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2023-08-29	Employee Stock Options	$74.77	M	2693	Acquired	2026-03-07	Common Stock (2693)	Direct
2023-08-29	Employee Stock Options	$95.66	M	1447	Acquired	2027-03-06	Common Stock (1447)	Direct
2023-08-30	Employee Stock Options	$95.66	M	4141	Acquired	2027-03-06	Common Stock (4141)	Direct

Footnotes

F1: Includes adjustments for dividends accrued and an adjustment for previously unreported holdings of 1,150 shares.

F2: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 7, 2016 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.

F3: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 6, 2017 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.