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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-02-11	Common Stock	A	37895	—	Acquired	94776	Direct
2020-02-11	Common Stock	F	15684	$136.15	Disposed	79092	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	6895	Indirect
Common Stock	928	Indirect

Footnotes

F1: Reflects the transfer of 6,895 shares to a grantor retained annuity trust on November 29, 2019. This transfer was exempt from reporting pursuant to Rule 16a-13 under the Securities Exchange Act of 1934, as amended.

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.