CATERPILLAR INC — Director's Dealing 2020

Aug 7, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CATERPILLAR INC (CAT)
CIK: 0000018230
Period of Report: 2020-08-05

Reporting Person: Ainsworth William P (Group President)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-08-05	Common Stock	M	15199	$83	Acquired	75073	Direct
2020-08-05	Common Stock	M	30964	$74.77	Acquired	106037	Direct
2020-08-05	Common Stock	M	69486	$95.66	Acquired	175523	Direct
2020-08-05	Common Stock	F	93434	$135	Disposed	82089	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2020-08-05	Employee Stock Options	$83.0	M	15199	Disposed	2025-03-02	Common Stock (15199.0)	Direct
2020-08-05	Employee Stock Options	$74.77	M	30964	Disposed	2026-03-07	Common Stock (30964.0)	Direct
2020-08-05	Employee Stock Options	$95.66	M	69486	Disposed	2027-03-06	Common Stock (69486.0)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	4338	Indirect

Footnotes

F1: The information in this report is based on a 401(k) plan statement dated as of July 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 anniversaries 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 anniversaries of the grant date.

F4: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 6, 2017 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.