CATERPILLAR INC — Director's Dealing 2021

Mar 9, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CATERPILLAR INC (CAT)
CIK: 0000018230
Period of Report: 2021-03-05

Reporting Person: BONFIELD ANDREW R J (Chief Financial Officer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-03-05	Common Stock	M	23077	$141.32	Acquired	42606	Direct
2021-03-05	Common Stock	F	18627	$216.14	Disposed	23979	Direct
2021-03-05	Common Stock	M	36026	$138.35	Acquired	60005	Direct
2021-03-05	Common Stock	F	28803	$216.14	Disposed	31202	Direct
2021-03-05	Common Stock	M	23096	$127.60	Acquired	54298	Direct
2021-03-05	Common Stock	F	17826	$216.14	Disposed	36472	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-03-05	Employee Stock Options	$141.32	M	23077	Acquired	2028-09-07	Common Stock (23077.0)	Direct
2021-03-05	Employee Stock Options	$138.35	M	36026	Acquired	2029-03-04	Common Stock (36026.0)	Direct
2021-03-05	Employee Stock Options	$127.6	M	23096	Acquired	2030-03-02	Common Stock (23096.0)	Direct

Footnotes

F1: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on September 7, 2018 and vest equally in 1/3 increments March 5, 2019, March 5, 2020 and March 5, 2021.

F2: 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.

F3: 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.