CATERPILLAR INC — Director's Dealing 2021

Mar 3, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CATERPILLAR INC (CAT)
CIK: 0000018230
Period of Report: 2021-03-01

Reporting Person: Fassino Anthony D. (Group President)

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-03-01	Employee Stock Options	$219.76	A	44403	Acquired	2031-03-01	Common Stock (44403.0)	Direct

Footnotes

F1: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.