CATERPILLAR INC — Director's Dealing 2021

Feb 11, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CATERPILLAR INC (CAT)
CIK: 0000018230
Period of Report: 2020-12-30

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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-12-30	Common Stock	G	59000	—	Disposed	151726	Direct
2021-02-09	Common Stock	A	46337	—	Acquired	198063	Direct
2021-02-09	Common Stock	F	19766	$196.78	Disposed	178297	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	27650	Indirect
Common Stock	4395	Indirect
Common Stock	22200	Indirect
Common Stock	59000	Indirect
Common Stock	952	Indirect

Footnotes

F1: Gift of shares to an irrevocable trust of which a member of the reporting person's immediate family serves as trustee and of which the reporting person's descendants are beneficiaries.

F2: Reflects transfer of 2,500 shares on December 7, 2020. This transfer was exempt from reporting pursuant to Rule 16a-13 under the Act.

F3: Represents shares withheld from the reporting person to satisfy tax obligations arising from the vesting of performance-based restricted stock units granted on March 5, 2018.

F4: The information in this report is based on a 401(k) plan statement dated as of January 31, 2021.