CATERPILLAR INC — Director's Dealing 2016

Aug 3, 2016

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CATERPILLAR INC (CAT)
CIK: 0000018230
Period of Report: 2016-07-29

Reporting Person: Pellette Thomas A (Group President)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2016-07-29	Common Stock	M	2290	$63.04	Acquired	3359	Direct
2016-07-29	Common Stock	D	1746	$82.64	Disposed	1613	Direct
2016-07-29	Common Stock	F	169	$82.64	Disposed	1444	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2016-07-29	Stock Appreciation Right	$63.04	M	2290	Disposed	2017-03-02	Common Stock (2290)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	11213	Indirect
Common Stock	2979	Indirect

Footnotes

F1: The information in this report is based on a 401(k) Plan statement dated as of 06/30/2016.