0000018230-20-000287.txt : 20201030 0000018230-20-000287.hdr.sgml : 20201030 20201030182911 ACCESSION NUMBER: 0000018230-20-000287 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200811 FILED AS OF DATE: 20201030 DATE AS OF CHANGE: 20201030 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Ainsworth William P CENTRAL INDEX KEY: 0001768624 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 201278563 MAIL ADDRESS: STREET 1: 510 LAKE COOK ROAD STREET 2: SUITE 100 CITY: DEERFIELD STATE: X1 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_160409693573298.xml FORM 4 X0306 4 2020-08-11 0 0000018230 CATERPILLAR INC CAT 0001768624 Ainsworth William P 510 LAKE COOK ROAD SUITE 100 DEERFIELD IL 60015 0 1 0 0 Group President Common Stock 2020-08-11 4 G 0 5588 0 D 76501 D Common Stock 2020-10-30 4 S 0 12000 154.78 D 64501 D Common Stock 4331 I Held by 401(k) Plan The information in this report is based on a 401(k) plan statement dated as of September 30, 2020. /s/ Barbara Thomas, POA for William P. Ainsworth 2020-10-30