FORM 4
[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      
1. Name and Address of Reporting Person * Umpleby III Donald J 2. Issuer Name and Ticker or Trading Symbol CATERPILLAR INC [ CAT ] 5. Relationship of Reporting Person(s) to Issuer (Check all applicable)__X__ Director                    _____ 10% Owner
__X__ Officer (give title below)    _____ Other (specify below)
Chairman and CEO
(Last)          (First)          (Middle)
5205 N. O'CONNOR BOULEVARD, SUITE 100
3. Date of Earliest Transaction (MM/DD/YYYY)
5/26/2022
(Street)
IRVING, TX 75039
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)
 
6. Individual or Joint/Group Filing (Check Applicable Line) _X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock  11/8/2022    M    151402  A $127.60  327979 (1)(2) D   
Common Stock  11/8/2022    F    113927  D $229.65  214052  D   
Common Stock  5/26/2022    G    13835 (3) D $0  0  I  Held by Grantor Retained Annuity 
Common Stock  8/18/2022    G    7490 (3) D $0  0  I  Held by Grantor Retained Annuity 
Common Stock                 59000  I  Held by irrevocable trust for descendants 
Common Stock                 16321  I  Held by Grantor Retained Annuity 
Common Stock                 12304  I  Held by Grantor Retained Annuity 
Common Stock                 22845 (4) I  Held by Children's Irrevocable Trust 
Common Stock                 24297  I  Held by Grantor Retained Annuity 
Common Stock                 988  I  Held by 401(k) Plan (5)

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Trans. Date 3A. Deemed Execution Date, if any 4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Employee Stock Options  $127.60  11/8/2022    M        151402    (6) 3/2/2030  Common Stock  151402  $0  75701  D   

Explanation of Responses:
(1)  Reflects 7,925 shares transferred on May 26, 2022 and 36,674 shares transferred on August 18, 2022 from Grantor Retained Annuity Trusts.
(2)  Reflects 24,297 shares transferred on February 24, 2022 to a Grantor Retained Annuity Trust.
(3)  Gift of shares to an irrevocable trust of which a member of the reporting person's immediate family serves as trustee and of which the reporting person's descendants are beneficiaries.
(4)  Reflects 13,835 shares transferred on May 26, 2022 and 7,490 shares transferred on August 18, 2022 from Grantor Retained Annuity Trusts.
(5)  The information in this report is based on a 401(k) plan statement as of October 31, 2022.
(6)  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.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
Umpleby III Donald J
5205 N. O'CONNOR BOULEVARD
SUITE 100
IRVING, TX 75039
X
Chairman and CEO

Signatures
/s/ Nicole Puza, POA for Donald J. Umpleby III 11/10/2022
**Signature of Reporting Person Date

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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