CATERPILLAR INC — Director's Dealing 2021

Feb 3, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CATERPILLAR INC (CAT)
CIK: 0000018230
Period of Report: 2021-02-02

Reporting Person: Marvel Gary Michael (Chief Accounting Officer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-02-02	Common Stock	M	4018	$74.77	Acquired	4018	Direct
2021-02-02	Common Stock	S	4018	$190.76	Disposed	0	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-02-02	Employee Stock Options	$74.77	M	4018	Disposed	2026-03-07	Common Stock (4018.0)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	1609	Indirect

Footnotes

F1: The information in this report is based on a 401(k) plan statement dated as of January 31 2021.

F2: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 7, 2016 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.