CATERPILLAR INC — Director's Dealing 2022

Apr 8, 2022

SEC Form 3 — Initial Statement of Beneficial Ownership

Issuer: CATERPILLAR INC (CAT)
CIK: 0000018230
Period of Report: 2022-04-01

Reporting Person: Schaupp William E (Chief Accounting Officer)

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	1947	Direct

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Employee Stock Options	$196.7	2032-03-07	Common Stock (3095.0)		Direct

Footnotes

F1: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 7, 2022 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.