CATERPILLAR INC — Director's Dealing 2024

Mar 5, 2024

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CATERPILLAR INC (CAT)
CIK: 0000018230
Period of Report: 2024-03-01

Reporting Person: Owens Derek (CLO & General Counsel)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2024-03-01	Common Stock	F	53	$335.69	Disposed	1669	Direct
2024-03-04	Common Stock	A	2510	—	Acquired	4179	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2024-03-04	Employee Stock Options	$338.65	A	8152	Acquired	2034-03-04	Common Stock (8152)	Direct

Footnotes

F1: Represents shared withheld from the reporting person to satisfy tax obligation arising from the vesting of restricted stock units granted March 1, 2021.

F2: Includes adjustments for dividends accrued and an adjustment for previously unreported holdings of 960 shares

F3: 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.