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