0000018230-21-000017.txt : 20210125 0000018230-21-000017.hdr.sgml : 20210125 20210125183857 ACCESSION NUMBER: 0000018230-21-000017 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201216 FILED AS OF DATE: 20210125 DATE AS OF CHANGE: 20210125 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: 21551148 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_161161792557181.xml FORM 4 X0306 4 2020-12-16 1 0000018230 CATERPILLAR INC CAT 0001768624 Ainsworth William P 510 LAKE COOK ROAD SUITE 100 DEERFIELD IL 60015 0 1 0 1 Group Pres. thru 12/31/2020 Retired Common Stock 2020-12-16 5 G 0 E 500 0 D 64001 D Common Stock 2021-01-21 5 G 0 E 500 0 D 63501 D Common Stock 4346 I Held by 401(k) Plan The information in this report is based on a 401(k) plan statement dated as of December 31, 2020. /s/ Barbara Thomas, POA for William P. Ainsworth 2021-01-25