CATERPILLAR INC — Director's Dealing 2018

May 9, 2018

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CATERPILLAR INC (CAT)
CIK: 0000018230
Period of Report: 2018-05-07

Reporting Person: Pellette Thomas A (Group President)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2018-05-07	Common Stock	M	3842	$102.13	Acquired	4911	Direct
2018-05-07	Common Stock	D	2606	$150.54	Disposed	2305	Direct
2018-05-07	Common Stock	S	1236	$150.56	Disposed	1069	Direct
2018-05-07	Common Stock	M	4456	$110.09	Acquired	5525	Direct
2018-05-07	Common Stock	M	20569	$89.75	Acquired	26094	Direct
2018-05-07	Common Stock	M	28220	$96.31	Acquired	54314	Direct
2018-05-07	Common Stock	S	53245	$150.16	Disposed	1069	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2018-05-07	Stock Appreciation Right	$102.13	M	3842	Disposed	2021-03-07	Common Stock (3842.0)	Direct
2018-05-07	Employee Stock Option	$110.09	M	4456	Disposed	2022-03-04	Common Stock (4456.0)	Direct
2018-05-07	Employee Stock Option	$89.75	M	20569	Disposed	2023-03-04	Common Stock (20569.0)	Direct
2018-05-07	Employee Stock Option	$96.31	M	28220	Disposed	2024-03-03	Common Stock (28220.0)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	20321	Indirect
Common Stock	12234	Indirect

Footnotes

F1: This amount reflects 7,521 shares that were transferred to Pellette Family Trust.

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 $150.00 to $150.43, 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 information in this report is based on a 401(k) Plan statement dated as of 4/30/2018.