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: Marvel Gary Michael (Chief Accounting Officer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-10-29	Common Stock	M	2180	$89.75	Acquired	2180	Direct
2020-10-29	Common Stock	S	2180	$154.39	Disposed	0	Direct
2020-10-29	Common Stock	M	4318	$96.31	Acquired	4318	Direct
2020-10-29	Common Stock	S	4318	$154.39	Disposed	0	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2020-10-29	Employee Stock Options	$89.75	M	2180	Disposed	2023-03-04	Common Stock (2180.0)	Direct
2020-10-29	Employee Stock Options	$96.31	M	4318	Disposed	2024-03-03	Common Stock (4318.0)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	1595	Indirect

Footnotes

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