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: DICKINSON DANIEL M (Director)

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2023-08-03	Phantom Stock Unis	$	J	9982	Disposed		Common Stock (9982)	Direct

Footnotes

F1: Each Phantom Stock unit is equilvant to one share of Caterpillar Inc. common stock.

F2: Intra-plan transfer pursuannt to the Caterpillar Inc. Director's Deferred Compensation Plan.

F3: The phantom stock units were acquired under the Caterpillar Inc. Directors' Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service.

F4: Includes adjustment for dividends accrued.