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