Suzette M. Long - 07 Jun 2023 Form 4 Insider Report for CATERPILLAR INC (CAT)

Role: CLO/General Counsel
Signature: /s/ Nicole Puza, POA for Suzette M. Long
Issuer symbol: CAT
Transactions as of: 07 Jun 2023
Net transactions value: -$3,565,798
Form type: 4
Filing time: 09 Jun 2023, 06:00:37 UTC
Previous 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	$2,619,500	+20,529	+234%	$127.60	29,305	07 Jun 2023	Direct
transaction	CAT	Common Stock	Tax liability	$3,565,798	-15,415	-53%	$231.32	13,890	07 Jun 2023	Direct
holding	CAT	Common Stock						86	07 Jun 2023	Held by 401(k) Plan	F2

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	$2,619,500	-20,529	-100%	$127.60	0	07 Jun 2023	Common Stock	20,529	$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 anniversary of the grant date.
F2	The information in this report is based on a 401(k) plan statement dated as of May 31, 2023.