CATERPILLAR INC — Director's Dealing 2022

Apr 22, 2022

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CATERPILLAR INC (CAT)
CIK: 0000018230
Period of Report: 2022-04-20

Reporting Person: Creed Joseph E (Group President)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2022-04-20	Common Stock	M	5004	$138.35	Acquired	7761	Direct
2022-04-20	Common Stock	S	5004	$235	Disposed	2757	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2022-04-20	Employee Stock Options	$138.35	M	5004	Disposed	2029-03-04	Common Stock (5004.0)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	10338	Indirect

Footnotes

F1: The information in this report is based on a 401(k) plan statement dated as of March 31, 2022.

F2: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 4, 2019 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.