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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
1608229	C Denise Johnson	510 Lake Cook Road, Suite 100 Deerfield IL 60015	Group President	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	Explanation
Common Stock	Acquisiton	2019-10-28	14,777	$74.77	26,464	No	4	M	Direct
Common Stock	Disposition	2019-10-28	14,777	$140.00	11,687	No	4	S	Direct

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

Reported Derivative Transactions

Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Employee Stock Options	Disposition	2019-10-28	14,777	$0.00	14,777	$74.77
Common Stock	Phantom Stock Units	Acquisiton	2019-10-25	86	$139.73	86	$0.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0		2026-03-07	No	4	M	Direct
16,777			No	4	A	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	4,260	Indirect	Held by 401(k) Plan
Common Stock	936	Indirect	Held by Jerry Johnson Trust

Footnotes

The information in this report is based on a 401(k) plan statement dated as of 09/30/2019.
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.
Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock.
This total includes 57 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $139.73 and 29 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.
The phantom stock units are to be settled 100% in cash upon the reporting person's retirement or separation from service.
Includes dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates.