CATERPILLAR INC — Director's Dealing 2023

Aug 7, 2023

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CATERPILLAR INC (CAT)
CIK: 0000018230
Period of Report: 2023-08-04

Reporting Person: Umpleby III Donald J (Director, Chief Executive Officer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2023-08-04	Common Stock	G	2613	—	Disposed	0	Indirect
2023-08-04	Common Stock	G	2501	—	Disposed	0	Indirect
2023-08-04	Common Stock	G	5114	—	Acquired	27959	Indirect

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	274430	Direct
Common Stock	59000	Indirect
Common Stock	15712	Indirect
Common Stock	1002	Indirect

Footnotes

F1: 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.

F2: Reflects 9,691 shares transferred on August 3, 2023 from Grantor Retained Annuity Trust to the reporting person.

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 13,820 shares transferred on August 3, 2023 from Grantor Retained Annuity Trust to the reporting person.

F5: Represents 2,613 and 2,501 shares received from Grantor Retained Annuity Trusts.

F6: Reflects 4,142 shares transferred on March 2, 2023, 4,443 shares transferred on May 19, 2023 and 23,511 shares transferred on August 3, 2023 from Grantor Retained Annuity Trusts.

F7: The information in this report is based on a 401(k) plan statement dated as of July 31, 2023.