CATERPILLAR INC — Director's Dealing 2019

Nov 5, 2019

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CATERPILLAR INC (CAT)
CIK: 0000018230
Period of Report: 2019-11-01

Reporting Person: Johnson Denise C (Group President)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2019-11-01	Common Stock	M	68993	$95.66	Acquired	80680	Direct
2019-11-01	Common Stock	S	34497	$142.01	Disposed	46183	Direct
2019-11-01	Common Stock	S	34496	$144	Disposed	11687	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2019-11-01	Common Stock	$95.66	M	68993	Disposed	2027-03-06	Common Stock (68993.0)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	4287	Indirect
Common Stock	936	Indirect

Footnotes

F1: The information in this report is based on a 401(k) plan statement dated as of 10/31/2019.

F2: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 6, 2017 and vest equally in 1/3 increments on each of the first, second and third anniversaries of the grant date.