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