0000018230-20-000038.txt : 20200213
0000018230-20-000038.hdr.sgml : 20200213
20200213140027
ACCESSION NUMBER: 0000018230-20-000038
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200211
FILED AS OF DATE: 20200213
DATE AS OF CHANGE: 20200213
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: 20609015
MAIL ADDRESS:
STREET 1: 510 LAKE COOK ROAD
STREET 2: SUITE 100
CITY: DEERFIELD
STATE: IL
ZIP: 60015
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: 510 LAKE COOK ROAD
STREET 2: SUITE 100
CITY: DEERFIELD
STATE: IL
ZIP: 60015
BUSINESS PHONE: 2245514000
MAIL ADDRESS:
STREET 1: 510 LAKE COOK ROAD
STREET 2: SUITE 100
CITY: DEERFIELD
STATE: IL
ZIP: 60015
FORMER COMPANY:
FORMER CONFORMED NAME: CATERPILLAR TRACTOR CO
DATE OF NAME CHANGE: 19860623
4
1
wf-form4_158162041050590.xml
FORM 4
X0306
4
2020-02-11
0
0000018230
CATERPILLAR INC
CAT
0001566320
Umpleby III Donald J
510 LAKE COOK ROAD, SUITE 100
DEERFIELD
IL
60015
1
1
0
0
Chairman & CEO
Common Stock
2020-02-11
4
A
0
37895
0
A
94776
D
Common Stock
2020-02-11
4
F
0
15684
136.15
D
79092
D
Common Stock
6895
I
Held by Grantor Retained Annuity Trust
Common Stock
928
I
Held by 401(k) Plan
Reflects the transfer of 6,895 shares to a grantor retained annuity trust on November 29, 2019. This transfer was exempt from reporting pursuant to Rule 16a-13 under the Securities Exchange Act of 1934, as amended.
Represents shares withheld from the reporting person to satisfy tax obligations arising from the vesting of performance-based restricted stock units granted on March 6, 2017.
The information in this report is based on a 401(k) plan statement dated as of 1/31/2020.
/s/Barbara Thomas, POA for Donald J. Umpleby III
2020-02-13