CATERPILLAR INC — Director's Dealing 2020

Nov 5, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CATERPILLAR INC (CAT)
CIK: 0000018230
Period of Report: 2020-11-03

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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-11-03	Common Stock	M	85606	$96.31	Acquired	135607	Direct
2020-11-03	Common Stock	F	65528	$166.36	Disposed	70079	Direct
2020-11-03	Common Stock	M	172621	$83	Acquired	242700	Direct
2020-11-03	Common Stock	F	124329	$166.75	Disposed	118371	Direct
2020-11-03	Common Stock	M	114049	$74.77	Acquired	232420	Direct
2020-11-03	Common Stock	F	78992	$166.84	Disposed	153428	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2020-11-03	Employee Stock Options	$96.31	M	85606	Disposed	2024-03-03	Common Stock (85606.0)	Direct
2020-11-03	Employee Stock Options	$83.0	M	172621	Disposed	2025-03-02	Common Stock (172621.0)	Direct
2020-11-03	Employee Stock Option	$74.77	M	114049	Disposed	2026-03-07	Common Stock (114049.0)	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 2, 2015 and vest equally in 1/3 increments on the first, second and third anniversary of the grant date.

F3: 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 the first, second and third anniversary of the grant date.