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