CATERPILLAR INC — Director's Dealing 2022

Mar 11, 2022

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CATERPILLAR INC (CAT)
CIK: 0000018230
Period of Report: 2022-03-09

Reporting Person: BONFIELD ANDREW R J (Chief Financial Officer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2022-03-09	Common Stock	M	18012	$138.35	Acquired	62991	Direct
2022-03-09	Common Stock	F	14572	$210.53	Disposed	48419	Direct
2022-03-09	Common Stock	M	23095	$127.60	Acquired	71514	Direct
2022-03-09	Common Stock	F	18027	$210.53	Disposed	53487	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2022-03-09	Employee Stock Options	$138.35	M	18012	Disposed	2029-03-04	Common Stock (18012.0)	Direct
2022-03-09	Employee Stock Options	$127.6	M	23095	Disposed	2030-03-02	Common Stock (23095.0)	Direct

Footnotes

F1: 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.

F2: 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.