0000018230-21-000168.txt : 20210607
0000018230-21-000168.hdr.sgml : 20210607
20210607143047
ACCESSION NUMBER: 0000018230-21-000168
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210604
FILED AS OF DATE: 20210607
DATE AS OF CHANGE: 20210607
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Creed Joseph E
CENTRAL INDEX KEY: 0001739859
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-00768
FILM NUMBER: 21999175
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_162309063353548.xml
FORM 4
X0306
4
2021-06-04
0
0000018230
CATERPILLAR INC
CAT
0001739859
Creed Joseph E
510 LAKE COOK ROAD
SUITE 100
DEERFIELD
IL
60015
0
1
0
0
Group President
Common Stock
2021-06-04
4
M
0
7699
127.60
A
13746
D
Common Stock
2021-06-04
4
S
0
7699
245.12
D
6047
D
Common Stock
9976
I
Held by 401(k) Plan
Employee Stock Options
127.6
2021-06-04
4
M
0
7699
127.60
A
2030-03-02
Common Stock
7699.0
15396
D
Includes adjustments for dividends accrued.
The information in this report is based on a 401(k) plan statement dated as of May 31, 2021.
The stock options were granted pursuant to the Caterpillar 2014 Long-Term Incentive Plan on March 2, 2020 and vest and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.
/s/ Barbara Thomas, POA for Joseph E. Creed
2021-06-07