Joseph E. Creed - 04 Jun 2021 Form 4 Insider Report for CATERPILLAR INC (CAT)

Role: Group President
Signature: /s/ Barbara Thomas, POA for Joseph E. Creed
Issuer symbol: CAT
Transactions as of: 04 Jun 2021
Net transactions value: +$77,606
Form type: 4
Filing time: 07 Jun 2021, 14:30:47 UTC
Next filing: 15 Jun 2021
SEC: View on sec.gov

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	CAT	Common Stock	Options Exercise	$982,392	+7,699	+127%	$127.60	13,746	04 Jun 2021	Direct	F1
transaction	CAT	Common Stock	Sale	$1,887,179	-7,699	-56%	$245.12	6,047	04 Jun 2021	Direct
holding	CAT	Common Stock						9,976	04 Jun 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	$982,392	+7,699	+100%	$127.60	15,396	04 Jun 2021	Common Stock	7,699	$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.