CATERPILLAR INC — Director's Dealing 2025

Mar 6, 2025

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CATERPILLAR INC (CAT)
CIK: 0000018230
Period of Report: 2025-03-03

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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2025-03-03	Common Stock	A	12733	—	Acquired	501041	Direct
2025-03-04	Common Stock	F	1528	$325.30	Disposed	499513	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2025-03-03	Employee Stock Options	$332.04	A	39915	Acquired	2035-03-03	Common Stock (39915)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	59000	Indirect
Common Stock	36040	Indirect
Common Stock	1024	Indirect

Footnotes

F1: Includes adjustment for dividends accrued.

F2: Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of restricted stock units granted March 4, 2024.

F3: The information in this report is based on a 401(k) plan statement dated as of February 28, 2025.

F4: 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.