CATERPILLAR INC — Director's Dealing 2021

Jan 9, 2021

SEC Form 3 — Initial Statement of Beneficial Ownership

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

Reporting Person: Fassino Anthony D. (Group President)

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	6368	Direct
Common Stock	1230	Indirect

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Employee Stock Options	$74.77	2026-03-07	Common Stock (2693.0)		Direct
Employee Stock Options	$95.66	2027-03-06	Common Stock (5588.0)		Direct
Employee Stock Options	$151.12	2028-03-05	Common Stock (14073.0)		Direct
Employee Stock Options	$138.35	2029-03-04	Common Stock (15761.0)		Direct
Employee Stock Options	$127.6	2030-03-02	Common Stock (22133.0)		Direct

Footnotes

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

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.

F3: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 6, 2017 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.

F4: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 5, 2018 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.

F5: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 4, 2019 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.

F6: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 2, 2020 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.