CATERPILLAR INC — Director's Dealing 2021

Mar 11, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CATERPILLAR INC (CAT)
CIK: 0000018230
Period of Report: 2021-03-08

Reporting Person: Long Suzette M (CLO/General Counsel)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-03-08	Common Stock	M	15480	$151.12	Acquired	33320	Direct
2021-03-08	Common Stock	S	4044	$218.92	Disposed	29276	Direct
2021-03-08	Common Stock	S	8516	$219.69	Disposed	20760	Direct
2021-03-08	Common Stock	S	2920	$220.68	Disposed	17840	Direct
2021-03-08	Common Stock	M	16011	$138.35	Acquired	33851	Direct
2021-03-08	Common Stock	S	4561	$218.91	Disposed	29290	Direct
2021-03-08	Common Stock	S	8346	$219.74	Disposed	20944	Direct
2021-03-08	Common Stock	S	3104	$220.66	Disposed	17840	Direct
2021-03-08	Common Stock	M	20529	$127.60	Acquired	38369	Direct
2021-03-08	Common Stock	S	8140	$219.03	Disposed	30229	Direct
2021-03-08	Common Stock	S	9704	$219.84	Disposed	20525	Direct
2021-03-08	Common Stock	S	2685	$220.80	Disposed	17840	Direct
2021-03-08	Common Stock	S	2469	$218.81	Disposed	15371	Direct
2021-03-08	Common Stock	S	3050	$219.69	Disposed	12321	Direct
2021-03-08	Common Stock	S	1772	$220.84	Disposed	10549	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-03-08	Employee Stock Option	$151.12	M	15480	Acquired	2028-03-05	Common Stock (15480.0)	Direct
2021-03-08	Employee Stock Options	$138.35	M	16011	Acquired	2029-03-04	Common Stock (16011.0)	Direct
2021-03-08	Employee Stock Options	$127.6	M	20529	Acquired	2030-03-02	Common Stock (20529.0)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	9	Indirect

Footnotes

F1: This transaction was executed in multiple trades at prices ranging from $218.27 to $219.26. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F2: This transaction was executed in multiple trades at prices ranging from $219.27 to $220.17. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F3: This transaction was executed in multiple trades at prices ranging from $220.27 to $221.26. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F4: This transaction was executed in multiple trades at prices ranging from $220.27 to $220.97. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F5: This transaction was executed in multiple trades at prices ranging from $218.37 to $219.33. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F6: This transaction was executed in multiple trades at prices ranging from $219.37 to $220.33. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F7: This transaction was executed in multiple trades at prices ranging from $220.37 to $220.97. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F8: This transaction was executed in multiple trades at prices ranging from $218.21 to $219.16. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F9: This transaction was executed in multiple trades at prices ranging from $219.21 to $220.19. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F10: This transaction was executed in multiple trades at prices ranging from $220.21 to $220.97. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F11: The information in this report is based on a 401(k) plan statement dated as of February 28, 2021.

F12: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 5, 2018 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.

F13: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 4, 2019 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.

F14: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 2, 2020 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.