Cheryl H. Johnson - Jan 7, 2022 Form 4 Insider Report for CATERPILLAR INC (CAT)

Role: Chief Human Resources Officer
Signature: /s/ Barbara Thomas, POA for Cheryl H. Johnson
Stock symbol: CAT
Transactions as of: Jan 7, 2022
Transactions value $: -$1,443,375
Form type: 4
Date filed: 1/10/2022, 04:39 PM
Next filing: Feb 10, 2022

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	CAT	Common Stock	Options Exercise	$819K	+6.42K	+39.43%	$127.60	22.7K	Jan 7, 2022	Direct	F1
transaction	CAT	Common Stock	Sale	-$1.44M	-6.42K	-28.28%	$225.00	16.3K	Jan 7, 2022	Direct	F2
holding	CAT	Common Stock						159	Jan 7, 2022	Held by 401(k) Plan	F3

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	-$819K	-6.42K	-16.67%	$127.60	32.1K	Jan 7, 2022	Common Stock	6.42K	$127.60	Direct	F4

* 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	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.