CATERPILLAR INC — Director's Dealing 2021

Jan 26, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CATERPILLAR INC (CAT)
CIK: 0000018230
Period of Report: 2020-12-16

Reporting Person: Ainsworth William P (Group Pres. thru 12/31/2020, Retired)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-12-16	Common Stock	G	500	—	Disposed	64001	Direct
2021-01-21	Common Stock	G	500	—	Disposed	63501	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	4346	Indirect

Footnotes

F1: The information in this report is based on a 401(k) plan statement dated as of December 31, 2020.