CATERPILLAR INC — Director's Dealing 2020

Nov 11, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CATERPILLAR INC (CAT)
CIK: 0000018230
Period of Report: 2020-11-09

Reporting Person: Johnson Denise C (Group President)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-11-09	Common Stock	M	37527	$151.12	Acquired	48923	Direct
2020-11-09	Common Stock	M	18013	$138.35	Acquired	66936	Direct
2020-11-09	Common Stock	F	46646	$175	Disposed	20290	Direct
2020-11-09	Common Stock	S	8894	$175	Disposed	11396	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2020-11-09	Employee Stock Option	$151.12	M	37527	Disposed	2028-03-05	Common Stock (37527.0)	Direct
2020-11-09	Employee Stock Options	$138.35	M	18013	Disposed	2029-03-04	Common Stock (18013.0)	Direct

Footnotes

F1: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 5, 2018 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.

F2: 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.