CATERPILLAR INC — Director's Dealing 2018

Oct 3, 2018

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CATERPILLAR INC (CAT)
CIK: 0000018230
Period of Report: 2018-10-01

Reporting Person: Johnson Denise C (Group President)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2018-10-01	Common Stock	M	15944	$83	Acquired	22826	Direct
2018-10-01	Common Stock	S	14444	$153.25	Disposed	8382	Direct
2018-10-01	Common Stock	S	1500	$152.69	Disposed	6882	Direct
2018-10-02	Common Stock	M	4330	$110.09	Acquired	11212	Direct
2018-10-02	Common Stock	S	4330	$155	Disposed	6882	Direct
2018-10-02	Common Stock	M	14777	$74.77	Acquired	21659	Direct
2018-10-02	Common Stock	S	14777	$155	Disposed	6882	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2018-10-01	Employee Stock Option	$83.0	M	15944	Disposed	2025-03-02	Common Stock (15944.0)	Direct
2018-10-02	Employee Stock Option	$110.09	M	4330	Disposed	2022-03-05	Common Stock (4330.0)	Direct
2018-10-02	Employee Stock Options	$74.77	M	14777	Disposed	2026-03-07	Common Stock (14777.0)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	3744	Indirect
Common Stock	936	Indirect

Footnotes

F1: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 plan adopted by the reporting person on August 29, 2018.

F2: The sale price reported in Column 4 is a weighted average sale price. The corresponding shares were sold in multiple transactions at prices ranging from $152.77 to $153.75, inclusive. The reporting person undertakes to provide Caterpillar Inc., and any security holder of Caterpillar Inc., or the staff of the Securities and Exchange Commission, upon request, information regarding the number of shares sold at each price within the range.

F3: The sale price reported in Column 4 is a weighted average sale price. The corresponding shares were sold in multiple transactions at prices ranging from $152.65 to $152.74, inclusive. The reporting person undertakes to provide Caterpillar Inc., and any security holder of Caterpillar Inc., or the staff of the Securities and Exchange Commission, upon request, information regarding the number of shares sold at each price within the range.

F4: The information in this report is based on a 401(k) report dated as of 09/30/2018.

F5: Includes adjustments for dividends accrued.

F6: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan and vest equally in 1/3 increments beginning on the first anniversary of the grant date.