0000018230-21-000160.txt : 20210511 0000018230-21-000160.hdr.sgml : 20210511 20210511170648 ACCESSION NUMBER: 0000018230-21-000160 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210507 FILED AS OF DATE: 20210511 DATE AS OF CHANGE: 20210511 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: 21912343 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_162076718562191.xml FORM 4 X0306 4 2021-05-07 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 2021-05-07 5 G 0 E 4495 0 D 179692 D Common Stock 21760 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 953 I Held by 401(k) Plan Represents a donation of ordinary shares to The Ayco Charitable Foundation, a Donor Advised Fund. Reflects transfer of 5,890 shares on May 7, 2021. This transfer was exempt form reporting pursuant to Rule 16a-13 under the Act. The information in this report is based on a 401(k) plan statement dated as of April 30, 2021. /s/Barbara Thomas, POA for Donald J. Umpleby III 2021-05-11