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: Johnson Denise C (Group President)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-03-08	Common Stock	M	18763	$151.12	Acquired	38945	Direct
2021-03-08	Common Stock	S	18763	$219.85	Disposed	20182	Direct
2021-03-08	Common Stock	M	18013	$138.35	Acquired	38195	Direct
2021-03-08	Common Stock	S	9141	$218.88	Disposed	29054	Direct
2021-03-08	Common Stock	S	8872	$219.42	Disposed	20182	Direct
2021-03-08	Common Stock	M	23737	$127.60	Acquired	43919	Direct
2021-03-08	Common Stock	S	23737	$220.42	Disposed	20182	Direct
2021-03-08	Common Stock	S	5927	$218.98	Disposed	14255	Direct
2021-03-08	Common Stock	S	10707	$219.75	Disposed	3548	Direct
2021-03-08	Common Stock	S	3548	$220.69	Disposed	0	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-03-08	Employee Stock Option	$151.12	M	18763	Acquired	2028-03-05	Common Stock (18763.0)	Direct
2021-03-08	Employee Stock Options	$138.35	M	18013	Acquired	2029-03-04	Common Stock (18013.0)	Direct
2021-03-08	Employee Stock Options	$127.6	M	23737	Acquired	2030-03-02	Common Stock (23737.0)	Direct

Footnotes

F1: This transaction was executed in multiple trades at prices ranging from $219.61 to $220.04. 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 $218.21 to $219.20. 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 $219.21 to $219.81. 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 $219.99 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 $218.30 to $219.28. 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 $219.30 to $220.29 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 $220.30 to $221.18. 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: 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.

F9: 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.

F10: 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.