0000018230-20-000307.txt : 20201110 0000018230-20-000307.hdr.sgml : 20201110 20201110184843 ACCESSION NUMBER: 0000018230-20-000307 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201109 FILED AS OF DATE: 20201110 DATE AS OF CHANGE: 20201110 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Johnson Denise C CENTRAL INDEX KEY: 0001608229 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 201302499 MAIL ADDRESS: STREET 1: C/O CATERPILLAR, INCORPORATED STREET 2: 901 WEST WASHINGTON, CV41110 CITY: EAST PEORIA STATE: IL ZIP: 61630 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_160505211020626.xml FORM 4 X0306 4 2020-11-09 0 0000018230 CATERPILLAR INC CAT 0001608229 Johnson Denise C 510 LAKE COOK ROAD, SUITE 100 DEERFIELD IL 60015 0 1 0 0 Group President Common Stock 2020-11-09 4 M 0 37527 151.12 A 48923 D Common Stock 2020-11-09 4 M 0 18013 138.35 A 66936 D Common Stock 2020-11-09 4 F 0 46646 175 D 20290 D Common Stock 2020-11-09 4 S 0 8894 175 D 11396 D Employee Stock Option 151.12 2020-11-09 4 M 0 37527 0 D 2028-03-05 Common Stock 37527.0 18763 D Employee Stock Options 138.35 2020-11-09 4 M 0 18013 0 D 2029-03-04 Common Stock 18013.0 36025 D The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 5, 2018 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 4, 2019 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. By: /s/ Barbara Thomas, POA for Denise C. Johnson 2020-11-10