CATERPILLAR INC — Director's Dealing 2020

Feb 13, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CATERPILLAR INC (CAT)
CIK: 0000018230
Period of Report: 2020-02-11

Reporting Person: Ainsworth William P (Group President)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-02-11	Common Stock	A	12283	—	Acquired	64299	Direct
2020-02-11	Common Stock	F	4372	$136.15	Disposed	59927	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	4261	Indirect

Footnotes

F1: Adjusted to correct inadvertent clerical error.

F2: Represents shares withheld from the reporting person to satisfy tax obligations arising from the vesting of performance-based restricted stock units granted on March 6, 2017.

F3: The information in this report is based on a 401(k) plan statement dated as of 1/31/2020.