CATERPILLAR INC — Director's Dealing 2019

Aug 30, 2019

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CATERPILLAR INC (CAT)
CIK: 0000018230
Period of Report: 2019-08-28

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

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2019-08-28	Phantom Stock Units	$	I	9413	Acquired		Common Stock (9413.0)	Direct

Footnotes

F1: Each phantom stock unit under the Caterpillar Inc. Supplemental Deferred Compensation Plan as reported is the economic equivalent of one share of Caterpillar Inc. common stock.

F2: The phantom stock units are settled 100% in cash upon the reporting person's retirement or separation from service.

F3: Includes adjustments for dividends accrued. Also adjusted to correct total holdings after the transactions reported on Forms 4 filed on July 31, 2015, November 16, 2015 and December 2, 2015.