0000018230-20-000315.txt : 20201125
0000018230-20-000315.hdr.sgml : 20201125
20201125174251
ACCESSION NUMBER: 0000018230-20-000315
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20201124
FILED AS OF DATE: 20201125
DATE AS OF CHANGE: 20201125
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: 201352197
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_160634415166156.xml
FORM 4
X0306
4
2020-11-24
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
2020-11-24
4
M
0
214370
95.66
A
367798
D
Common Stock
2020-11-24
4
F
0
159572
176.80
D
208226
D
Common Stock
949
I
Held by 401(k) Plan
Common Stock
6895
I
Held by Grantor Retained Annuity Trust
Common Stock
27650
I
Held by Grantor Retained Annuity Trust
Common Stock
22200
I
Held by Grantor Retained Annuity Trust
Employee Stock Options
95.66
2020-11-24
4
M
0
214370
0
D
2027-03-06
Common Stock
214370.0
0
D
The information in this report is based on a 401(k) plan statement dated as of October 31, 2020.
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 Donald J. Umpleby III
2020-11-25