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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
1415606	A. Jananne Copeland	100 N.e. Adams Street Peoria IL 61629	Chief Accounting Officer	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	2017-11-24	5,620	$57.85	8,908	No	4	M	Direct
Common Stock	Disposition	2017-11-24	2,373	$136.95	6,535	No	4	D	Direct
Common Stock	Disposition	2017-11-24	3,247	$136.95	3,288	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	Acquisiton	2017-11-24	5,620	$0.00	5,620	$57.85
Common Stock	Phantom Stock Units	Acquisiton	2017-11-24	20	$137.39	20	$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
2,875			No	4	A	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	4,317	Indirect	Held by 401(k) Plan

Footnotes

The sale price reported in Column 4 is a weighted average sale price. The corresponding shares were sold in multiple transcations at prices ranging from $136.94 to $136.95, inclusive. The reporting person undertakes to provide Caterpillar Inc., and any security holder of Caterpiller Inc., or the staff of the Securites and Exchange Commission, upon request, full information.
The information in this report is based on a 401(k) Plan statement dated as of 10/31/2017.
Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock.
This total includes 13 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $137.39 and 7 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 retirment or separation from service.