Ownership Submission
FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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(Print or Type Responses)
1. Name and Address of Reporting Person *
Johnson Denise C
  2. Issuer Name and Ticker or Trading Symbol
CATERPILLAR INC [CAT]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
Group President
(Last)
(First)
(Middle)
100 N.E. ADAMS STREET
3. Date of Earliest Transaction (Month/Day/Year)
07/27/2017
(Street)

PEORIA, IL 61629
4. If Amendment, Date Original Filed(Month/Day/Year)
6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
(City)
(State)
(Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 07/27/2017   M   17,141 A $ 89.75 24,149 D  
Common Stock 07/27/2017   S   17,141 D $ 114.02 (1) 7,008 D  
Common Stock 07/27/2017   M   25,152 A $ 96.31 32,160 D  
Common Stock 07/27/2017   S   25,152 D $ 114.02 (1) 7,008 D  
Common Stock 07/27/2017   M   31,888 A $ 83 38,896 D  
Common Stock 07/27/2017   S   31,888 D $ 144.02 (1) 7,008 D  
Common Stock 07/27/2017   M   14,778 A $ 74.77 21,786 D  
Common Stock 07/27/2017   S   14,788 D $ 114.02 (1) 7,008 D  
Common Stock               916 I Held by Jerry Johnson Trust
Common Stock               3,338 (2) I Held by 401(k) Plan

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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
6. Date Exercisable and Expiration Date
(Month/Day/Year)
7. Title and Amount of Underlying Securities
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 4)
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Employee Stock Option $ 89.75 07/27/2017   M     17,141 03/04/2016 03/04/2023 Common Stock 17,141 $ 0 0 D  
Employee Stock Option $ 96.31 07/27/2017   M     25,152 03/03/2017 03/03/2024 Common Stock 25,152 $ 0 0 D  
Employee Stock Option $ 83 07/27/2017   M     31,888   (3) 03/02/2025 Common Stock 31,888 $ 0 15,944 D  
Employee Stock Option $ 74.77 07/27/2017   M     14,778   (3) 03/07/2026 Common Stock 14,788 $ 0 29,554 D  

Reporting Owners

Reporting Owner Name / Address Relationships
 Director  10% Owner  Officer  Other
Johnson Denise C
100 N.E. ADAMS STREET
PEORIA, IL 61629
      Group President  

Signatures

 Denise C. Johnson; G. Acker, POA   07/31/2017
**Signature of Reporting Person Date

Explanation of Responses:

* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
(1) 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 $113.815 to $114.10, inclusive. The reporting person undertakes to provide Caterpillar Inc., any security holder of Caterpillar Inc., or the staff of the Securities and Exchange Commission, upon request, full information.
(2) The information in this report is based on a 401(k) Plan statement dated as of 06/30/2017.
(3) Stock options vest equally in 1/3 increments beginning on the first anniversay of the grant date.

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