0000018230-20-000218.txt : 20200805 0000018230-20-000218.hdr.sgml : 20200805 20200805190213 ACCESSION NUMBER: 0000018230-20-000218 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200804 FILED AS OF DATE: 20200805 DATE AS OF CHANGE: 20200805 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Younessi Ramin CENTRAL INDEX KEY: 0001743079 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 201079183 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_159666851837362.xml FORM 4 X0306 4 2020-08-04 0 0000018230 CATERPILLAR INC CAT 0001743079 Younessi Ramin 510 LAKE COOK ROAD SUITE 100 DEERFIELD IL 60015 0 1 0 0 Group President Common Stock 2020-08-04 4 M 0 15277 95.66 A 49659 D Common Stock 2020-08-04 4 F 0 12990 130.80 D 36669 D Employee Stock Options 95.66 2020-08-04 4 M 0 15277 0 D 2027-03-06 Common Stock 15277.0 0 D The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 6, 2017 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. /s/ Barbara Thomas, POA for Ramin Younessi 2020-08-05