CATERPILLAR INC — Director's Dealing 2020

Aug 6, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CATERPILLAR INC (CAT)
CIK: 0000018230
Period of Report: 2020-08-04

Reporting Person: Younessi Ramin (Group President)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-08-04	Common Stock	M	15277	$95.66	Acquired	49659	Direct
2020-08-04	Common Stock	F	12990	$130.80	Disposed	36669	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2020-08-04	Employee Stock Options	$95.66	M	15277	Disposed	2027-03-06	Common Stock (15277.0)	Direct

Footnotes

F1: 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.