CATERPILLAR INC — Director's Dealing 2024

Feb 15, 2024

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CATERPILLAR INC (CAT)
CIK: 0000018230
Period of Report: 2024-02-13

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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2024-02-13	Common Stock	A	42136	—	Acquired	438378	Direct
2024-02-13	Common Stock	F	16835	$313.40	Disposed	421543	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	59000	Indirect
Common Stock	27959	Indirect
Common Stock	15712	Indirect
Common Stock	1011	Indirect

Footnotes

F1: Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of performance-based stock units granted March 1, 2021.

F2: The information in this report is based on a 401(k) plan statement dated as of January 31, 2024.