0000018230-20-000323.txt : 20201208 0000018230-20-000323.hdr.sgml : 20201208 20201208082712 ACCESSION NUMBER: 0000018230-20-000323 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201204 FILED AS OF DATE: 20201208 DATE AS OF CHANGE: 20201208 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Marvel Gary Michael CENTRAL INDEX KEY: 0001768626 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 201374455 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_160743401937492.xml FORM 4 X0306 4 2020-12-04 0 0000018230 CATERPILLAR INC CAT 0001768626 Marvel Gary Michael 510 LAKE COOK ROAD SUITE 100 DEERFIELD 60015 0 1 0 0 Chief Accounting Officer Common Stock 2020-12-04 4 M 0 2318 83 A 2318 D Common Stock 2020-12-04 4 S 0 2318 179.50 D 0 D Common Stock 1601 I Held by 401(k) Plan Employee Stock Options 83.0 2020-12-04 4 M 0 2318 83 D 2025-03-02 Common Stock 2318.0 0 D The information in this report is based on a 401(k) plan statement dated as of November 30, 2020. The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 2, 2015 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. /s/ Barbara Thomas, POA for Gary Michael Marvel 2020-12-08