0001104659-23-014713.txt : 20230208 0001104659-23-014713.hdr.sgml : 20230208 20230208210704 ACCESSION NUMBER: 0001104659-23-014713 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230207 FILED AS OF DATE: 20230208 DATE AS OF CHANGE: 20230208 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: 23600823 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 tm236025-4_4seq1.xml OWNERSHIP DOCUMENT X0306 4 2023-02-07 0 0000018230 CATERPILLAR INC CAT 0001566320 Umpleby III Donald J 5205 N. O'CONNOR BOULEVARD, SUITE 100 IRVING TX 75039 1 1 0 0 Chief Executive Officer Common Stock 2023-02-07 4 A 0 49260 0 A 263312 D Common Stock 2023-02-07 4 F 0 20978 248.68 D 242334 D 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 991 I Held by 401(k) Plan Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of performance-based stock units granted March 2, 2020. The information in this report is based on a 401(k) plan statement dated as of January 31, 2023. /s/ Nicole Puza, POA for Donald J. Umpleby 2023-02-08