CATERPILLAR INC — Director's Dealing 2023

Jun 9, 2023

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CATERPILLAR INC (CAT)
CIK: 0000018230
Period of Report: 2023-06-07

Reporting Person: Long Suzette M (CLO/General Counsel)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2023-06-07	Common Stock	M	20529	$127.60	Acquired	29305	Direct
2023-06-07	Common Stock	F	15415	$231.32	Disposed	13890	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2023-06-07	Employee Stock Options	$127.60	M	20529	Disposed	2030-03-02	Common Stock (20529)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	86	Indirect

Footnotes

F1: 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 anniversary of the grant date.

F2: The information in this report is based on a 401(k) plan statement dated as of May 31, 2023.