CATERPILLAR INC — Director's Dealing 2024

Nov 8, 2024

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CATERPILLAR INC (CAT)
CIK: 0000018230
Period of Report: 2024-11-07

Reporting Person: Umpleby III Donald J (Chairman & CEO)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2024-11-07	Common Stock	G	2400	—	Disposed	439049	Direct
2024-11-07	Common Stock	M	87053	$196.70	Acquired	526102	Direct
2024-11-07	Common Stock	F	59851	$413.02	Disposed	466251	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2024-11-07	Employee Stock Options	$196.70	M	87053	Disposed	2032-03-07	Common Stock (87053)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	59000	Indirect
Common Stock	36040	Indirect
Common Stock	1020	Indirect

Footnotes

F1: Represents a donation of ordinary shares to The Ayco Charitable Foundation, a Donor Advised Fund.

F2: Includes dividends accrued.

F3: The information in this report is based on a 401(k) plan dated as of October 31, 2024.

F4: 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 thir anniversaries of the grant date.