CATERPILLAR INC — Director's Dealing 2020

Sep 4, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CATERPILLAR INC (CAT)
CIK: 0000018230
Period of Report: 2020-09-02

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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-09-02	Common Stock	M	21416	$110.09	Acquired	50658	Direct
2020-09-02	Common Stock	F	18323	$148.62	Disposed	32335	Direct
2020-09-02	Common Stock	M	79976	$89.75	Acquired	112311	Direct
2020-09-02	Common Stock	F	62310	$148.73	Disposed	50001	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2020-09-02	Employee Stock Options	$110.09	M	21416	Acquired	2022-03-05	Common Stock (21416.0)	Direct
2020-09-02	Employee Stock Options	$89.75	M	79976	Acquired	2023-03-04	Common Stock (79976.0)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	944	Indirect
Common Stock	6895	Indirect
Common Stock	27650	Indirect
Common Stock	22200	Indirect

Footnotes

F1: Reflects the transfer of 27,650 shares on May 7, 2020 and 22,200 shares on August 7, 2020 to grantor retained annuity trusts. These transfers were exempt from reporting pursuant to Rule 16a-13 under the Securities and Exchange Act of 1934, as amended.

F2: The information in this report is based on a 401(k) plan statement dated as of August 31, 2020.