Daniel Dickinson - May 1, 2024 Form 4/A Insider Report for CATERPILLAR INC (CAT)

Role: Director
Signature: /s/ Nicole Puza, POA for Daniel Dickinson
Stock symbol: CAT
Transactions as of: May 1, 2024
Transactions value $: -$1,250,140
Form type: 4/A
Date filed: 5/7/2024, 05:25 PM
Date Of Original Report: May 2, 2024
Previous filing: Aug 4, 2023
Next filing: May 8, 2024

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	Phantom Stock Units	Other	-$1.25M	-3.74K	-18.18%	$334.62	16.8K	May 1, 2024	Common Stock	3.74K		Direct	F1, F2, F3, F4

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

Explanation of Responses:

Id	Content
F1	Each Phantom Stock unit is equivalent to one share of Caterpillar Inc. common stock.
F2	Intra-plan transfer pursuant to the Director's Deferred Compensation Plan.
F3	The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service.
F4	Includes adjustments for dividends accrued.

Remarks:

This amended Form 4 is being filed to correct the reporting of the transaction occurring on May 1, 2024. The intra-plan transfer pursuant to the Director's Deferred Compensation Plan was a disposition of securities not an acquisition, as originally reported.