CATERPILLAR INC — Director's Dealing 2020

Nov 25, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CATERPILLAR INC (CAT)
CIK: 0000018230
Period of Report: 2020-11-24

Reporting Person: Umpleby III Donald J (Director, Chairman & CEO)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-11-24	Common Stock	M	214370	$95.66	Acquired	367798	Direct
2020-11-24	Common Stock	F	159572	$176.80	Disposed	208226	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2020-11-24	Employee Stock Options	$95.66	M	214370	Disposed	2027-03-06	Common Stock (214370.0)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	949	Indirect
Common Stock	6895	Indirect
Common Stock	27650	Indirect
Common Stock	22200	Indirect

Footnotes

F1: The information in this report is based on a 401(k) plan statement dated as of October 31, 2020.

F2: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 6, 2017 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.