CATERPILLAR INC — Director's Dealing 2023

Aug 5, 2023

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CATERPILLAR INC (CAT)
CIK: 0000018230
Period of Report: 2023-08-03

Reporting Person: Johnson Denise C (Group President)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2023-08-03	Common Stock	M	18012	$138.35	Acquired	35980	Direct
2023-08-03	Common Stock	S	7892	—	Disposed	28088	Direct
2023-08-03	Common Stock	S	10120	—	Disposed	17968	Direct
2023-08-03	Common Stock	M	23736	$127.60	Acquired	41704	Direct
2023-08-03	Common Stock	S	16610	—	Disposed	25094	Direct
2023-08-03	Common Stock	S	2300	—	Disposed	22794	Direct
2023-08-03	Common Stock	S	4112	—	Disposed	18682	Direct
2023-08-03	Common Stock	S	714	—	Disposed	17968	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2023-08-03	Employee Stock Options	$138.35	M	18012	Disposed	2029-03-04	Common Stock (18012)	Direct
2023-08-03	Employee Stock Options	$127.60	M	23736	Disposed	2030-03-02	Common Stock (23736)	Direct

Footnotes

F1: This transaction was executed in multiple trades at prices ranging from $282.54 to $283.53. 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 $283.54 to $284.15. 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: This transaction was executed in multiple trades at prices ranging from $284.15 to $285.05. 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.

F4: This transaction was executed in multiple trades at prices ranging from $285.16 to $285.95. 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.

F5: This transaction was executed in multiple trades at prices ranging from $286.31 to $287.22. 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.

F6: This transaction was executed in multiple trades at prices ranging from $287.57 to $287.79. 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.

F7: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 4, 2019 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.

F8: 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.