Joseph E. Creed - 20 Apr 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: 20 Apr 2022
Net transactions value: -$1,175,940
Form type: 4
Filing time: 22 Apr 2022, 12:59:26 UTC
Previous filing: 15 Mar 2022
Next filing: 23 May 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	Options Exercise	$692,303	+5,004	+182%	$138.35	7,761	20 Apr 2022	Direct
transaction	CAT	Common Stock	Sale	$1,175,940	-5,004	-64%	$235.00	2,757	20 Apr 2022	Direct
holding	CAT	Common Stock						10,338	20 Apr 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	-50%	$138.35	5,003	20 Apr 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 March 31, 2022.
F2	The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 4, 2019 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.