0001104659-23-030008.txt : 20230308
0001104659-23-030008.hdr.sgml : 20230308
20230308134028
ACCESSION NUMBER: 0001104659-23-030008
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230306
FILED AS OF DATE: 20230308
DATE AS OF CHANGE: 20230308
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: 23715480
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
tm238923-6_4seq1.xml
OWNERSHIP DOCUMENT
X0306
4
2023-03-06
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
Employee Stock Options
253.98
2023-03-06
4
A
0
112156
0
A
2033-03-06
Common Stock
112156
112156
D
The stock options were granted pursuant to the Caterpillar Inc. 2014 Long Term Incentive Plan 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
2023-03-08