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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2019-10-28	Common Stock	M	3943	$95.66	Acquired	16512	Direct
2019-10-28	Common Stock	F	3250	$139.73	Disposed	13262	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2019-10-28	Employee Stock Options	$95.66	M	3943	Disposed	2027-03-06	Common Stock (3943.0)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	553	Indirect

Footnotes

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

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.