CATERPILLAR INC — Director's Dealing 2019

Nov 6, 2019

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CATERPILLAR INC (CAT)
CIK: 0000018230
Period of Report: 2019-11-04

Reporting Person: Umpleby III Donald J (Director, Chairman & CEO)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2019-11-04	Common Stock	M	22696	$102.13	Acquired	82672	Direct
2019-11-04	Common Stock	D	15875	$146.01	Disposed	66797	Direct
2019-11-04	Common Stock	F	3021	$146.01	Disposed	63776	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2019-11-04	Stock Appreciation Rights	$102.13	M	22696	Disposed	2021-03-07	Common Stock (22696.0)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	920	Indirect

Footnotes

F1: Adjusted to correct inadvertent clerical error.

F2: The information in this report is based on a 401(k) plan statement dated as of 10/31/2019.

F3: Reported as "Employee Stock Option" on Form 3 filed on January 11, 2013.