CATERPILLAR INC — Director's Dealing 2023

Aug 3, 2023

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CATERPILLAR INC (CAT)
CIK: 0000018230
Period of Report: 2023-08-02

Reporting Person: BONFIELD ANDREW R J (Chief Financial Officer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2023-08-02	Common Stock	M	30786	$219.76	Acquired	100813	Direct
2023-08-02	Common Stock	F	26264	$289.99	Disposed	74549	Direct
2023-08-02	Common Stock	M	14187	$196.70	Acquired	88736	Direct
2023-08-02	Common Stock	F	11419	$289.99	Disposed	77317	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2023-08-02	Employee Stock Options	$219.76	M	30786	Acquired	2031-03-01	Common Stock (30786)	Direct
2023-08-02	Employee Stock Options	$196.70	M	14187	Acquired	2032-03-07	Common Stock (14187)	Direct

Footnotes

F1: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 1, 2021 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.

F2: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 7, 2022 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date