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CATERPILLAR INC·4

Oct 30, 6:28 PM ET

Marvel Gary Michael 4

4 · CATERPILLAR INC · Filed Oct 30, 2020

Insider Transaction Report

Form 4

Period: 2020-10-29

CATERPILLAR INCCAT

Marvel Gary Michael

Chief Accounting Officer

Transactions

Exercise/Conversion
Common Stock
2020-10-29$89.75/sh+2,180$195,655→ 2,180 total
Sale
Common Stock
2020-10-29$154.39/sh−2,180$336,570→ 0 total
Exercise/Conversion
Common Stock
2020-10-29$96.31/sh+4,318$415,867→ 4,318 total
Sale
Common Stock
2020-10-29$154.39/sh−4,318$666,656→ 0 total
Exercise/Conversion
Employee Stock Options
2020-10-29$89.75/sh−2,180$195,655→ 0 total
Exercise: $89.75From: 2016-03-04Exp: 2023-03-04→ Common Stock (2,180 underlying)
Exercise/Conversion
Employee Stock Options
2020-10-29$96.31/sh−4,318$415,867→ 0 total
Exercise: $96.31From: 2017-03-03Exp: 2024-03-03→ Common Stock (4,318 underlying)

Holdings

Common Stock
(indirect: By 401(k))
1,595

Footnotes (1)

[F1]The information in this report is based on a 401(k) plan statement dated as of September 30, 2020.

Documents

1 file

4
wf-form4_160409689876755.xmlPrimary
FORM 4