CATERPILLAR INC — Director's Dealing 2022

Mar 21, 2022

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CATERPILLAR INC (CAT)
CIK: 0000018230
Period of Report: 2022-03-17

Reporting Person: Long Suzette M (CLO/General Counsel)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2022-03-17	Common Stock	M	16011	$138.35	Acquired	34192	Direct
2022-03-17	Common Stock	S	16011	$220	Disposed	18181	Direct
2022-03-17	Common Stock	M	20529	$127.60	Acquired	38710	Direct
2022-03-17	Common Stock	S	20529	$220	Disposed	18181	Direct
2022-03-17	Common Stock	S	3816	$220	Disposed	14365	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2022-03-17	Employee Stock Options	$138.35	M	16011	Acquired	2029-03-04	Common Stock (16011.0)	Direct
2022-03-17	Employee Stock Options	$127.6	M	20529	Acquired	2030-03-02	Common Stock (20529.0)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	37	Indirect

Footnotes

F1: This transaction was executed in multiple trades at prices ranging from $220.00 to $220.01. The price reported above reflects the weighted average sale (or purchase) price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F2: The information in this report is based on a 401(k) plan statement dated as of February 28, 2022.

F3: 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.

F4: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 2, 2020 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.