CATERPILLAR INC — Director's Dealing 2019

Oct 30, 2019

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CATERPILLAR INC (CAT)
CIK: 0000018230
Period of Report: 2019-10-28

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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2019-10-28	Common Stock	M	6781	$57.85	Acquired	65371	Direct
2019-10-28	Common Stock	D	2797	$140.25	Disposed	62574	Direct
2019-10-28	Common Stock	F	1764	$140.25	Disposed	60810	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2019-10-28	Stock Appreciation Rights	$57.85	M	6781	Disposed	2020-03-01	Common Stock (6781.0)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	915	Indirect

Footnotes

F1: The information in this report is based on a 401(k) plan statement dated as of 09/30/2019.

F2: Reported as "Employee Stock Option" on the Form 3 filed on January 11, 2013.