Bob de Lange - 21 Apr 2022 Form 4 Insider Report for CATERPILLAR INC (CAT)

Role: Group President
Signature: /s/ Barbara Thomas, POA for Bob De Lange
Issuer symbol: CAT
Transactions as of: 21 Apr 2022
Net transactions value: -$2,780,096
Form type: 4
Filing time: 25 Apr 2022, 13:05:31 UTC
Previous filing: 08 Mar 2022
Next filing: 02 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	$876,155	+11,718	+27%	$74.77	55,535	21 Apr 2022	Direct
transaction	CAT	Common Stock	Sale	$2,780,096	-11,718	-21%	$237.25	43,817	21 Apr 2022	Direct

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 Option	Options Exercise	$876,155	-11,718	-50%	$74.77	11,717	21 Apr 2022	Common Stock	11,718	$74.77	Direct	F1

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

Explanation of Responses:

Id	Content
F1	The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 7, 2016 and vest equally in 1/3 increments on each of the first, second and third anniversaries of the grant date.