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: 2021-02-09

Reporting Person: Johnson Cheryl H (Chief Human Resources Officer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-02-09	Common Stock	A	9267	—	Acquired	19507	Direct
2021-02-09	Common Stock	F	3366	$196.78	Disposed	16141	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	137	Indirect

Footnotes

F1: Includes adjustments for dividends accrued.

F2: 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.

F3: The information in this report is based on a 401(k) plan statement dated as of January 31, 2021.