0001104659-22-116967.txt : 20221110
0001104659-22-116967.hdr.sgml : 20221110
20221110123538
ACCESSION NUMBER: 0001104659-22-116967
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20220526
FILED AS OF DATE: 20221110
DATE AS OF CHANGE: 20221110
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: 221376073
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: TX
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 5205 N. O'CONNOR BOULEVARD
STREET 2: SUITE 100
CITY: IRVING
STATE: TX
ZIP: 75039
BUSINESS PHONE: 9728917700
MAIL ADDRESS:
STREET 1: 5205 N. O'CONNOR BOULEVARD
STREET 2: SUITE 100
CITY: IRVING
STATE: TX
ZIP: 75039
FORMER COMPANY:
FORMER CONFORMED NAME: CATERPILLAR TRACTOR CO
DATE OF NAME CHANGE: 19860623
4
1
tm2230041-1_4seq1.xml
OWNERSHIP DOCUMENT
X0306
4
2022-05-26
0
0000018230
CATERPILLAR INC
CAT
0001566320
Umpleby III Donald J
5205 N. O'CONNOR BOULEVARD
SUITE 100
IRVING
TX
75039
1
1
0
0
Chairman and CEO
Common Stock
2022-11-08
4
M
0
151402
127.60
A
327979
D
Common Stock
2022-11-08
4
F
0
113927
229.65
D
214052
D
Common Stock
2022-05-26
4
G
0
13835
0
D
0
I
Held by Grantor Retained Annuity
Common Stock
2022-08-18
4
G
0
7490
0
D
0
I
Held by Grantor Retained Annuity
Common Stock
59000
I
Held by irrevocable trust for descendants
Common Stock
16321
I
Held by Grantor Retained Annuity
Common Stock
12304
I
Held by Grantor Retained Annuity
Common Stock
22845
I
Held by Children's Irrevocable Trust
Common Stock
24297
I
Held by Grantor Retained Annuity
Common Stock
988
I
Held by 401(k) Plan
Employee Stock Options
127.60
2022-11-08
4
M
0
151402
0
D
2030-03-02
Common Stock
151402
75701
D
Reflects 7,925 shares transferred on May 26, 2022 and 36,674 shares transferred on August 18, 2022 from Grantor Retained Annuity Trusts.
Reflects 24,297 shares transferred on February 24, 2022 to a Grantor Retained Annuity Trust.
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 13,835 shares transferred on May 26, 2022 and 7,490 shares transferred on August 18, 2022 from Grantor Retained Annuity Trusts.
The information in this report is based on a 401(k) plan statement as of October 31, 2022.
The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 2, 2020 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.
/s/ Nicole Puza, POA for Donald J. Umpleby III
2022-11-10