CATERPILLAR INC — Director's Dealing 2022

Apr 25, 2022

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CATERPILLAR INC (CAT)
CIK: 0000018230
Period of Report: 2022-04-21

Reporting Person: De Lange Bob (Group President)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2022-04-21	Common Stock	M	11718	$74.77	Acquired	55535	Direct
2022-04-21	Common Stock	S	11718	$237.25	Disposed	43817	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2022-04-21	Employee Stock Option	$74.77	M	11718	Disposed	2026-03-07	Common Stock (11718.0)	Direct

Footnotes

F1: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 7, 2016 and vest equally in 1/3 increments on each of the first, second and third anniversaries of the grant date.