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Filing Details

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
18230	Caterpillar Inc	CAT	Construction Machinery & Equip (3531)	370602744

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1307061	M Bradley Halverson	100 N.e. Adams Street Peoria IL 61629	Group President & Cfo	No	Yes	No	No

Reported Non-Derivative Transactions

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Acquisiton	2016-07-28	9,449	$57.85	20,232	No	4	M	Direct
Common Stock	Disposition	2016-07-28	6,608	$82.71	13,624	No	4	D	Direct
Common Stock	Disposition	2016-07-28	2,841	$82.73	10,783	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	M	Direct
No	4	D	Direct
No	4	S	Direct

Reported Derivative Transactions

Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Stock Appreciation Right	Disposition	2016-07-28	9,449	$0.00	9,449	$57.85
Common Stock	Phantom Stock Units	Acquisiton	2016-07-29	72	$82.76	72	$0.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0	2013-03-01	2020-03-01	No	4	M	Direct
13,277			No	4	A	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	10,784	Indirect	Held by 401(k) Plan
Common Stock	17,296	Indirect	Held by Mindy Halverson Trust

Footnotes

The sale price reported in Column 4 is a weighted average sale price. The corresponding shares were sold in multiple transactions at prices ranging from $82.73 to $82.736, inclusive. The reporting person undertakes to provide to Caterpillar Inc., any security holder of Caterpillar Inc., or the staff of Securities and Exchange Commission, upon request, full information.
The information in this report is based on a 401(k) Plan statement dated as of 06/30/2016.
Each phatom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock.
This total includes 48 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $82.76 and 24 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.
The phantom stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service.