CATERPILLAR INC — Director's Dealing 2023

Feb 7, 2023

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CATERPILLAR INC (CAT)
CIK: 0000018230
Period of Report: 2022-11-09

Reporting Person: Johnson Cheryl H (Chief Human Resources Officer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2022-11-09	Common Stock	G	6607	—	Disposed	14440	Direct
2023-02-03	Common Stock	G	693	—	Disposed	13857	Direct
2023-02-03	Common Stock	M	14260	$138.35	Acquired	28117	Direct
2023-02-03	Common Stock	S	14260	$250.27	Disposed	13857	Direct
2023-02-03	Common Stock	M	9623	$127.60	Acquired	23480	Direct
2023-02-03	Common Stock	S	9623	$250.68	Disposed	13857	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2023-01-20	Employee Stock Options	$151.12	J	18295	Disposed	2028-03-05	Common Stock (18295)	Direct
2023-01-20	Employee Stock Options	$138.35	J	14260	Disposed	2029-03-04	Common Stock (14260)	Direct
2023-01-20	Employee Stock Options	$127.60	J	16039	Disposed	2030-03-02	Common Stock (16039)	Direct
2023-01-20	Employee Stock Options	$219.76	J	15541	Disposed	2031-03-01	Common Stock (15541)	Direct
2023-01-20	Employee Stock Options	$196.70	J	12091	Disposed	2032-03-07	Common Stock (12091)	Direct
2023-02-03	Employee Stock Options	$138.35	M	14260	Disposed	2029-03-04	Common Stock (14260)	Direct
2023-02-03	Employee Stock Options	$127.60	M	9623	Disposed	2030-03-02	Common Stock (9623)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	197	Indirect

Footnotes

F1: Includes adjustments for dividends accrued.

F2: This transaction was executed in multiple trades at prices ranging from $249.83 to $250.50. 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 $250.50 to $250.865. 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: The information in this report is based on a 401(k) statement dated as of January 31, 2023.

F5: Reflects stock options transferred to a former spouse pursuant to a domestic relations order.

F6: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 5, 2018 and vested equally in 1/3 increments on the first, second and third anniversaries of the grant date.

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.

F9: 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.

F10: 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.