0000018230-17-000147.txt : 20170503 0000018230-17-000147.hdr.sgml : 20170503 20170503182202 ACCESSION NUMBER: 0000018230-17-000147 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170501 FILED AS OF DATE: 20170503 DATE AS OF CHANGE: 20170503 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CATERPILLAR INC CENTRAL INDEX KEY: 0000018230 STANDARD INDUSTRIAL CLASSIFICATION: CONSTRUCTION MACHINERY & EQUIP [3531] IRS NUMBER: 370602744 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 100 NE ADAMS ST CITY: PEORIA STATE: IL ZIP: 61629 BUSINESS PHONE: 3096751000 MAIL ADDRESS: STREET 1: 100 NE ADAMS ST CITY: PEORIA STATE: IL ZIP: 61629 FORMER COMPANY: FORMER CONFORMED NAME: CATERPILLAR TRACTOR CO DATE OF NAME CHANGE: 19860623 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Umpleby III Donald J CENTRAL INDEX KEY: 0001566320 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 17811002 MAIL ADDRESS: STREET 1: 100 N.E. ADAMS STREET CITY: PEORIA STATE: IL ZIP: 61629-6490 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2017-05-01 0000018230 CATERPILLAR INC CAT 0001566320 Umpleby III Donald J 100 N.E. ADAMS STREET PEORIA IL 61629 1 1 0 0 Chief Executive Officer Common Stock 2017-05-01 4 F 0 259 102.20 D 37344 D Common Stock 861 I Held by 401(k) Plan Represents shares withheld from the reporting person solely to satisfy tax obligations arising from the vesting of restricted stock units granted on 5/01/12, of which one-third vested on 05/01/2017. Adjusted to reflect inadvertent clerical error. The information in this report is based on a 401(k) Plan statement dated as of 03/31/2017. D. J. Umpleby III; G. Acker, POA 2017-05-03