0000018230-20-000285.txt : 20201030 0000018230-20-000285.hdr.sgml : 20201030 20201030182834 ACCESSION NUMBER: 0000018230-20-000285 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201029 FILED AS OF DATE: 20201030 DATE AS OF CHANGE: 20201030 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: 201278561 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_160409689876755.xml FORM 4 X0306 4 2020-10-29 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 2020-10-29 4 M 0 2180 89.75 A 2180 D Common Stock 2020-10-29 4 S 0 2180 154.39 D 0 D Common Stock 2020-10-29 4 M 0 4318 96.31 A 4318 D Common Stock 2020-10-29 4 S 0 4318 154.39 D 0 D Common Stock 1595 I Held by 401(k) Plan Employee Stock Options 89.75 2020-10-29 4 M 0 2180 89.75 D 2016-03-04 2023-03-04 Common Stock 2180.0 0 D Employee Stock Options 96.31 2020-10-29 4 M 0 4318 96.31 D 2017-03-03 2024-03-03 Common Stock 4318.0 0 D The information in this report is based on a 401(k) plan statement dated as of September 30, 2020. /s/ Barbara Thomas, POA for Gary Michael Marvel 2020-10-30