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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
1698572	M Suzette Long	510 Lake Cook Road, Suite 100 Deerfield IL 60015	Clo/General Counsel	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	2022-03-17	16,011	$138.35	34,192	No	4	M	Direct
Common Stock	Disposition	2022-03-17	16,011	$220.00	18,181	No	4	S	Direct
Common Stock	Acquisiton	2022-03-17	20,529	$127.60	38,710	No	4	M	Direct
Common Stock	Disposition	2022-03-17	20,529	$220.00	18,181	No	4	S	Direct
Common Stock	Disposition	2022-03-17	3,816	$220.00	14,365	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	M	Direct
No	4	S	Direct
No	4	M	Direct
No	4	S	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	Acquisiton	2022-03-17	16,011	$138.35	16,011	$138.35
Common Stock	Employee Stock Options	Acquisiton	2022-03-17	20,529	$127.60	20,529	$127.60

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0		2029-03-04	No	4	M	Direct
20,529		2030-03-02	No	4	M	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	37	Indirect	Held by 401(k) Plan

Footnotes

This transaction was executed in multiple trades at prices ranging from $220.00 to $220.01. The price reported above reflects the weighted average sale (or purchase) price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
The information in this report is based on a 401(k) plan statement dated as of February 28, 2022.
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.
The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 2, 2020 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.