CATERPILLAR INC — Director's Dealing 2018

Mar 8, 2018

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CATERPILLAR INC (CAT)
CIK: 0000018230
Period of Report: 2018-03-05

Reporting Person: Long Suzette M (General Counsel/Corporate Sec.)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2018-03-06	Common Stock	F	2153	$153.33	Disposed	17493	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2018-03-05	Employee Stock Option	$151.12	A	46440	Acquired	2028-03-05	Common Stock (46440.0)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	468	Indirect

Footnotes

F1: Represents shares withheld from the reporting person to satisfy tax obligations arising from the vesting of restricted stock units granted on March 6, 2017 and August 14, 2017.

F2: The information in this report is based on a 401(k) Plan statement dated as of 2/28/2018.

F3: 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.