Bob De Lange - 07 Jan 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: 07 Jan 2022
Net transactions value: -$5,272,875
Form type: 4
Filing time: 10 Jan 2022, 16:38:30 UTC
Next filing: 10 Feb 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	$1,752,235	+23,435	+64%	$74.77	60,338	07 Jan 2022	Direct	F1
transaction	CAT	Common Stock	Sale	$5,272,875	-23,435	-39%	$225.00	36,903	07 Jan 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	$1,752,235	-23,435	-50%	$74.77	23,435	07 Jan 2022	Common Stock	23,435	$74.77	Direct	F2

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

Explanation of Responses:

Id	Content
F1	Includes adjustments for dividends accrued.
F2	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.