0000018230-21-000123.txt : 20210310
0000018230-21-000123.hdr.sgml : 20210310
20210310193752
ACCESSION NUMBER: 0000018230-21-000123
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210308
FILED AS OF DATE: 20210310
DATE AS OF CHANGE: 20210310
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Marvel Gary Michael
CENTRAL INDEX KEY: 0001768626
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-00768
FILM NUMBER: 21731407
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_161542305770389.xml
FORM 4
X0306
4
2021-03-08
0
0000018230
CATERPILLAR INC
CAT
0001768626
Marvel Gary Michael
510 LAKE COOK ROAD
SUITE 100
DEERFIELD
60015
0
1
0
0
Chief Accounting Officer
Common Stock
2021-03-08
4
M
0
5056
95.66
A
5623
D
Common Stock
2021-03-08
4
S
0
5056
220.97
D
567
D
Common Stock
1605
I
Held by 401(k) Plan
Employee Stock Options
95.66
2021-03-08
4
M
0
5056
95.66
A
2027-03-06
Common Stock
5056.0
0
D
The information in this report is based on a 401(k) plan statement dated as of February 28, 2021.
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 Gary Michael Marvel
2021-03-10