CATERPILLAR INC — Director's Dealing 2016

Mar 22, 2016

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CATERPILLAR INC (CAT)
CIK: 0000018230
Period of Report: 2016-03-18

Reporting Person: OBERHELMAN DOUGLAS R (Director, CEO & Chairman of the Board)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2016-03-18	Common Stock	M	50884	$63.04	Acquired	246721	Direct
2016-03-18	Common Stock	D	42323	$75.79	Disposed	204398	Direct
2016-03-18	Common Stock	F	3912	$75.79	Disposed	200486	Direct
2016-03-18	Common Stock	G	1847	—	Disposed	198639	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2016-03-18	Stock Appreciation Right	$63.04	M	50884	Disposed	2017-03-02	Common Stock (50884)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	33956	Indirect

Footnotes

F1: The information in this report is based on a 401(k) Plan statement dated as of 12/31/2015.