CATERPILLAR INC — Director's Dealing 2024

Mar 6, 2024

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CATERPILLAR INC (CAT)
CIK: 0000018230
Period of Report: 2024-03-04

Reporting Person: Umpleby III Donald J (Director, Chief Executive Officer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2024-03-04	Common Stock	A	12181	—	Acquired	441355	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2024-03-04	Employee Stock Options	$338.65	A	39561	Acquired	2034-03-04	Common Stock (39561)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	36040	Indirect
Common Stock	59000	Indirect
Common Stock	1009	Indirect

Footnotes

F1: The information in this report is based on a 401(k) plan statement dated as of February 29, 2024.

F2: The stock options were granted pursuant to the Caterpillar Inc. 2023 Long Term Incentive Plan and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.