Joseph E. Creed - 18 Jan 2022 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: 18 Jan 2022
Net transactions value: -$1,150,920
Form type: 4
Filing time: 19 Jan 2022, 14:52:27 UTC
Previous filing: 27 Dec 2021
Next filing: 10 Feb 2022
SEC: View on sec.gov

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	CAT	Common Stock	Award	$692,303	+5,004		$138.35	5,004	18 Jan 2022	Direct
transaction	CAT	Common Stock	Sale	$1,150,920	-5,004	-100%	$230.00	0	18 Jan 2022	Direct
holding	CAT	Common Stock						10,110	18 Jan 2022	Held by 401(k) Plan	F1

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	$692,303	-5,004	-33%	$138.35	10,007	18 Jan 2022	Common Stock	5,004	$138.35	Direct	F2

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

Explanation of Responses:

Id	Content
F1	The information in this report is based on a 401(k) plan statement dated as of December 31, 2021.
F2	The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan March 4, 2019 and vest equally in 1/3 increments on each of the first, second and third anniversaries of the grant date.