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