CATERPILLAR INC — Director's Dealing 2024

Feb 27, 2024

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CATERPILLAR INC (CAT)
CIK: 0000018230
Period of Report: 2024-02-26

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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2024-02-26	Common Stock	G	8081	—	Disposed	0	Indirect
2024-02-26	Common Stock	G	8081	—	Acquired	36040	Indirect

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	429174	Direct
Common Stock	59000	Indirect
Common Stock	1011	Indirect

Footnotes

F1: Gift of shares to an irrevocable trust of which a member of the reporting person's immediate family serves as trustee and of which the reporting person's descendants are beneficiaries.

F2: Reflects 7,631 shares transferred on February 26, 2024 from Grantor Retained Annuity Trust to the reporting person.

F3: Represents 8,081 shares received from Grantor Retained Annuity Trusts.

F4: The information in this report is based on a 401(k) plan statement dated as of January 31, 2024.