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: 2023-08-01

Reporting Person: De Lange Bob (Group President)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2023-08-01	Common Stock	M	20000	$95.66	Acquired	73671	Direct
2023-08-01	Common Stock	S	20000	$275.00	Disposed	53671	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2023-08-01	Employee Stock Options	$95.66	M	20000	Disposed	2027-03-06	Common Stock (20000)	Direct

Footnotes

F1: Includes adjustment for dividends accrued.

F2: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 6, 2017 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.