CATERPILLAR INC — Director's Dealing 2024

Mar 8, 2024

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CATERPILLAR INC (CAT)
CIK: 0000018230
Period of Report: 2024-03-07

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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2024-03-07	Common Stock	M	15393	$219.76	Acquired	73707	Direct
2024-03-07	Common Stock	F	12138	$340.39	Disposed	61569	Direct
2024-03-07	Common Stock	M	14186	$196.70	Acquired	75755	Direct
2024-03-07	Common Stock	F	10613	$340.39	Disposed	65142	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2024-03-07	Employee Stock Options	$219.76	M	15393	Disposed	2031-03-01	Common Stock (15393)	Direct
2024-03-07	Employee Stock Options	$196.70	M	14186	Disposed	2032-03-07	Common Stock (14186)	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