CATERPILLAR INC — Director's Dealing 2022

Jan 10, 2022

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CATERPILLAR INC (CAT)
CIK: 0000018230
Period of Report: 2022-01-07

Reporting Person: Johnson Cheryl H (Chief Human Resources Officer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2022-01-07	Common Stock	M	6415	$127.60	Acquired	22683	Direct
2022-01-07	Common Stock	S	6415	$225	Disposed	16268	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2022-01-07	Employee Stock Options	$127.6	M	6415	Disposed	2030-03-02	Common Stock (6415.0)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	159	Indirect

Footnotes

F1: Includes adjustments for dividends accrued.

F2: This transaction was executed in multiple trades at prices ranging from $225.00 to $225.04. 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.

F3: The information in this report is based on a 401(k) plan statement dated as of December 31, 2021.

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.