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: De Lange Bob (Group President)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2019-11-04	Common Stock	M	3359	$102.13	Acquired	20228	Direct
2019-11-04	Common Stock	D	2349	$146.01	Disposed	17879	Direct
2019-11-04	Common Stock	F	448	$146.01	Disposed	17431	Direct
2019-11-04	Common Stock	M	2952	$110.09	Acquired	20383	Direct
2019-11-04	Common Stock	F	2546	$146.18	Disposed	17837	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2019-11-04	Stock Appreciation Rights	$102.13	M	3359	Disposed	2021-03-07	Common Stock (3359.0)	Direct
2019-11-04	Employee Stock Option	$110.09	M	2952	Disposed	2022-03-05	Common Stock (2952.0)	Direct

Footnotes

F1: Reported as "Employee Stock Option" on Form 3 filed January 11, 2017.