Joseph E. Creed - Jun 4, 2021 Form 4 Insider Report for CATERPILLAR INC (CAT)

Role: Group President
Signature: /s/ Barbara Thomas, POA for Joseph E. Creed
Stock symbol: CAT
Transactions as of: Jun 4, 2021
Transactions value $: $77,606
Form type: 4
Date filed: 6/7/2021, 02:30 PM
Next filing: Jun 15, 2021

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	CAT	Common Stock	Options Exercise	$982K	+7.7K	+127.32%	$127.60	13.7K	Jun 4, 2021	Direct	F1
transaction	CAT	Common Stock	Sale	-$1.89M	-7.7K	-56.01%	$245.12	6.05K	Jun 4, 2021	Direct
holding	CAT	Common Stock						9.98K	Jun 4, 2021	Held by 401(k) Plan	F2

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Underlying Class	Amount	Exercise Price	Ownership	Footnotes
transaction	CAT	Employee Stock Options	Options Exercise	$982K	+7.7K	+100.03%	$127.60	15.4K	Jun 4, 2021	Common Stock	7.7K	$127.60	Direct	F3

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	Includes adjustments for dividends accrued.
F2	The information in this report is based on a 401(k) plan statement dated as of May 31, 2021.
F3	The stock options were granted pursuant to the Caterpillar 2014 Long-Term Incentive Plan on March 2, 2020 and vest and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.