CATERPILLAR INC — Director's Dealing 2021

Jun 7, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CATERPILLAR INC (CAT)
CIK: 0000018230
Period of Report: 2021-06-04

Reporting Person: Creed Joseph E (Group President)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-06-04	Common Stock	M	7699	$127.60	Acquired	13746	Direct
2021-06-04	Common Stock	S	7699	$245.12	Disposed	6047	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-06-04	Employee Stock Options	$127.6	M	7699	Acquired	2030-03-02	Common Stock (7699.0)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	9976	Indirect

Footnotes

F1: Includes adjustments for dividends accrued.

F2: The information in this report is based on a 401(k) plan statement dated as of May 31, 2021.

F3: The stock options were granted pursuant to the Caterpillar 2014 Long-Term Incentive Plan on March 2, 2020 and vest and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.