CATERPILLAR INC — Director's Dealing 2023

Aug 10, 2023

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CATERPILLAR INC (CAT)
CIK: 0000018230
Period of Report: 2023-08-09

Reporting Person: Johnson Cheryl H (Chief Human Resources Officer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2023-08-09	Common Stock	M	18294	$151.12	Acquired	34656	Direct
2023-08-09	Common Stock	S	16894	$286.27	Disposed	17762	Direct
2023-08-09	Common Stock	S	1400	$287.06	Disposed	16362	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2023-08-09	Employee Stock Options	$151.12	M	18294	Disposed	2028-03-05	Common Stock (18294)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	223	Indirect

Footnotes

F1: This transaction was executed in multiple trades at prices ranging from $286.00 to $286.95. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F2: This transaction was executed in multiple trades at prices ranging from $287.00 to $287.10. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F3: The information in this report is based on a 401(k) statement dated as of July 31, 2023.

F4: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 5, 2018 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.