CATERPILLAR INC — Director's Dealing 2020

Dec 8, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CATERPILLAR INC (CAT)
CIK: 0000018230
Period of Report: 2020-12-04

Reporting Person: Marvel Gary Michael (Chief Accounting Officer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-12-04	Common Stock	M	2318	$83	Acquired	2318	Direct
2020-12-04	Common Stock	S	2318	$179.50	Disposed	0	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2020-12-04	Employee Stock Options	$83.0	M	2318	Disposed	2025-03-02	Common Stock (2318.0)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	1601	Indirect

Footnotes

F1: The information in this report is based on a 401(k) plan statement dated as of November 30, 2020.

F2: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 2, 2015 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.