Sec Form 4 Filing - BONFIELD ANDREW R J @ CATERPILLAR INC - 2021-03-05

Insider filing report for Changes in Beneficial Ownership
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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
BONFIELD ANDREW R J
2. Issuer Name and Ticker or Trading Symbol
CATERPILLAR INC [ CAT]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
Chief Financial Officer
(Last) (First) (Middle)
510 LAKE COOK ROAD, SUITE 100
3. Date of Earliest Transaction (MM/DD/YY)
03/05/2021
(Street)
DEERFIELD, IL60015
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 03/05/2021 M 23,077 A $ 141.32 42,606 D
Common Stock 03/05/2021 F 18,627 D $ 216.14 23,979 D
Common Stock 03/05/2021 M 36,026 A $ 138.35 60,005 D
Common Stock 03/05/2021 F 28,803 D $ 216.14 31,202 D
Common Stock 03/05/2021 M 23,096 A $ 127.6 54,298 D
Common Stock 03/05/2021 F 17,826 D $ 216.14 36,472 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
6. Date Exercisable and Expiration Date
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 4)
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Employee Stock Options $ 141.32 03/05/2021 M 23,077 ( 1 ) 09/07/2028 Common Stock 23,077 $ 141.32 0 D
Employee Stock Options $ 138.35 03/05/2021 M 36,026 ( 2 ) 03/04/2029 Common Stock 36,026 $ 138.35 18,012 D
Employee Stock Options $ 127.6 03/05/2021 M 23,096 ( 3 ) 03/02/2030 Common Stock 23,096 $ 127.6 46,190 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
BONFIELD ANDREW R J
510 LAKE COOK ROAD, SUITE 100
DEERFIELD, IL60015
Chief Financial Officer
Signatures
/s/ Barbara Thomas POA, for Andrew R J Bonfield 03/09/2021
Signature of Reporting Person Date
Explanation of Responses:
( 1 )The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on September 7, 2018 and vest equally in 1/3 increments March 5, 2019, March 5, 2020 and March 5, 2021.
( 2 )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.
( 3 )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.

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* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
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