CATERPILLAR INC — Director's Dealing 2020

Oct 14, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CATERPILLAR INC (CAT)
CIK: 0000018230
Period of Report: 2020-10-12

Reporting Person: Long Suzette M (General Counsel/Corporate Sec.)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-10-12	Common Stock	M	30960	$151.12	Acquired	43964	Direct
2020-10-12	Common Stock	F	29728	$162.74	Disposed	14236	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2020-10-12	Employee Stock Options	$151.12	M	30960	Disposed	2028-03-05	Common Stock (30960.0)	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 anniversary of the grant date.