CATERPILLAR INC — Director's Dealing 2021

May 11, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CATERPILLAR INC (CAT)
CIK: 0000018230
Period of Report: 2021-05-07

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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-05-07	Common Stock	G	4495	—	Disposed	179692	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	21760	Indirect
Common Stock	4395	Indirect
Common Stock	22200	Indirect
Common Stock	59000	Indirect
Common Stock	953	Indirect

Footnotes

F1: Represents a donation of ordinary shares to The Ayco Charitable Foundation, a Donor Advised Fund.

F2: Reflects transfer of 5,890 shares on May 7, 2021. This transfer was exempt form reporting pursuant to Rule 16a-13 under the Act.

F3: The information in this report is based on a 401(k) plan statement dated as of April 30, 2021.