0000018230-21-000058.txt : 20210211 0000018230-21-000058.hdr.sgml : 20210211 20210211154448 ACCESSION NUMBER: 0000018230-21-000058 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201230 FILED AS OF DATE: 20210211 DATE AS OF CHANGE: 20210211 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: 21619334 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_161307626917642.xml FORM 4 X0306 4 2020-12-30 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 2020-12-30 5 G 0 E 59000 0 D 151726 D Common Stock 2021-02-09 4 A 0 46337 0 A 198063 D Common Stock 2021-02-09 4 F 0 19766 196.78 D 178297 D Common Stock 27650 I Held by Grantor Retained Annuity Trust Common Stock 4395 I Held by Grantor Retained Annuity Trust Common Stock 22200 I Held by Grantor Retained Annuity Trust Common Stock 59000 I Held by Irrevocable Trust for Descendants Common Stock 952 I Held by 401(k) Plan Gift of shares to an irrevocable trust of which a member of the reporting person's immediate family serves as trustee and of which the reporting person's descendants are beneficiaries. Reflects transfer of 2,500 shares on December 7, 2020. This transfer was exempt from reporting pursuant to Rule 16a-13 under the Act. Represents shares withheld from the reporting person to satisfy tax obligations arising from the vesting of performance-based restricted stock units granted on March 5, 2018. The information in this report is based on a 401(k) plan statement dated as of January 31, 2021. /s/Barbara Thomas, POA for Donald J. Umpleby III 2021-02-11