0000018230-21-000012.txt : 20210108
0000018230-21-000012.hdr.sgml : 20210108
20210108191044
ACCESSION NUMBER: 0000018230-21-000012
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210101
FILED AS OF DATE: 20210108
DATE AS OF CHANGE: 20210108
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Fassino Anthony D.
CENTRAL INDEX KEY: 0001839757
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-00768
FILM NUMBER: 21518757
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
3
1
wf-form3_161015102862113.xml
FORM 3
X0206
3
2021-01-01
0
0000018230
CATERPILLAR INC
CAT
0001839757
Fassino Anthony D.
510 LAKE COOK ROAD
SUITE 100
DEERFIELD
IL
60015
0
1
0
0
Group President
Common Stock
6368
D
Common Stock
1230
I
Held by 401(k) Plan
Employee Stock Options
74.77
2026-03-07
Common Stock
2693.0
D
Employee Stock Options
95.66
2027-03-06
Common Stock
5588.0
D
Employee Stock Options
151.12
2028-03-05
Common Stock
14073.0
D
Employee Stock Options
138.35
2029-03-04
Common Stock
15761.0
D
Employee Stock Options
127.6
2030-03-02
Common Stock
22133.0
D
The information in this report is based on a 401(k) plan statement dated as of December 31, 2020.
The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 7, 2016 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.
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.
The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 5, 2018 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.
The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 4, 2019 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.
The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 2, 2020 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.
By: /s/Barbara Thomas, POA for Anthony D. Fassino
2021-01-08