CATERPILLAR INC — Director's Dealing 2020

Oct 30, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CATERPILLAR INC (CAT)
CIK: 0000018230
Period of Report: 2020-10-29

Reporting Person: Younessi Ramin (Group President)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-10-29	Common Stock	M	18013	$138.35	Acquired	54682	Direct
2020-10-29	Common Stock	S	18013	$151	Disposed	36669	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2020-10-29	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. Long-Term Incentive Plan on March 4, 2019 and vest equally in 1/3 increments on the first, second and third anniversary of the grant date.