0000018230-20-000301.txt : 20201105 0000018230-20-000301.hdr.sgml : 20201105 20201105101924 ACCESSION NUMBER: 0000018230-20-000301 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201103 FILED AS OF DATE: 20201105 DATE AS OF CHANGE: 20201105 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: 201289154 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_160458954998133.xml FORM 4 X0306 4 2020-11-03 0 0000018230 CATERPILLAR INC CAT 0001566320 Umpleby III Donald J 510 LAKE COOK ROAD, SUITE 100 DEERFIELD IL 60015 1 1 0 0 Chairman & CEO Common Stock 2020-11-03 4 M 0 85606 96.31 A 135607 D Common Stock 2020-11-03 4 F 0 65528 166.36 D 70079 D Common Stock 2020-11-03 4 M 0 172621 83 A 242700 D Common Stock 2020-11-03 4 F 0 124329 166.75 D 118371 D Common Stock 2020-11-03 4 M 0 114049 74.77 A 232420 D Common Stock 2020-11-03 4 F 0 78992 166.84 D 153428 D Common Stock 949 I Held by 401(k) Plan Common Stock 6895 I Held by Grantor Retained Annuity Trust Common Stock 27650 I Held by Grantor Retained Annuity Trust Common Stock 22200 I Held by Grantor Retained Annuity Trust Employee Stock Options 96.31 2020-11-03 4 M 0 85606 0 D 2017-03-03 2024-03-03 Common Stock 85606.0 0 D Employee Stock Options 83.0 2020-11-03 4 M 0 172621 0 D 2025-03-02 Common Stock 172621.0 0 D Employee Stock Option 74.77 2020-11-03 4 M 0 114049 0 D 2026-03-07 Common Stock 114049.0 0 D The information in this report is based on a 401(k) plan statement dated as of October 31, 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 anniversary of the grant date. The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 7, 2016 and vest equally in 1/3 increments on the first, second and third anniversary of the grant date. /s/Barbara Thomas, POA for Donald J. Umpleby III 2020-11-05