Andrew R. J. Bonfield - 02 Mar 2023 Form 4 Insider Report for CATERPILLAR INC (CAT)

Role: Chief Financial Officer
Signature: /s/ Nicole Puza, POA for Andrew Bonfield
Issuer symbol: CAT
Transactions as of: 02 Mar 2023
Net transactions value: +$1,841,061
Form type: 4
Filing time: 06 Mar 2023, 06:56:10 UTC
Previous filing: 08 Feb 2023
Next filing: 08 Mar 2023
SEC: View on sec.gov

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	CAT	Common Stock	Options Exercise	$2,946,922	+23,095	+37%	$127.60	86,283	02 Mar 2023	Direct
transaction	CAT	Common Stock	Tax liability	$4,052,783	-16,256	-19%	$249.31	70,027	02 Mar 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	$2,946,922	+23,095		$127.60	0	02 Mar 2023	Common Stock	23,095	$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.