Andrew R. J. Bonfield - Mar 2, 2023 Form 4 Insider Report for CATERPILLAR INC (CAT)

Role: Chief Financial Officer
Signature: /s/ Nicole Puza, POA for Andrew Bonfield
Stock symbol: CAT
Transactions as of: Mar 2, 2023
Transactions value $: $1,841,061
Form type: 4
Date filed: 3/6/2023, 06:56 AM
Previous filing: Feb 8, 2023
Next filing: Mar 8, 2023

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	CAT	Common Stock	Options Exercise	$2.95M	+23.1K	+36.55%	$127.60	86.3K	Mar 2, 2023	Direct
transaction	CAT	Common Stock	Tax liability	-$4.05M	-16.3K	-18.84%	$249.31	70K	Mar 2, 2023	Direct

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Underlying Class	Amount	Exercise Price	Ownership	Footnotes
transaction	CAT	Employee Stock Options	Options Exercise	$2.95M	+23.1K		$127.60	0	Mar 2, 2023	Common Stock	23.1K	$127.60	Direct	F1

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 2, 2020 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.