0000018230-21-000013.txt : 20210108 0000018230-21-000013.hdr.sgml : 20210108 20210108191101 ACCESSION NUMBER: 0000018230-21-000013 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210101 FILED AS OF DATE: 20210108 DATE AS OF CHANGE: 20210108 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Creed Joseph E CENTRAL INDEX KEY: 0001739859 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 21518759 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 3 1 wf-form3_161015104844235.xml FORM 3 X0206 3 2021-01-01 0 0000018230 CATERPILLAR INC CAT 0001739859 Creed Joseph E 510 LAKE COOK ROAD SUITE 100 DEERFIELD IL 60015 0 1 0 0 Group President Common Stock 2542 D Common Stock 9689 I Held by 401(k) Plan Employee Stock Options 151.12 2028-03-05 Common Stock 18294.0 D Employee Stock Options 138.35 2029-03-04 Common Stock 15011.0 D Employee Stock Options 127.6 2030-03-02 Common Stock 23095.0 D Phantom Stock Units Common Stock 4967.0 D The information in this report is based on a 401(k) plan statement dated as of December 31, 2020. 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. The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 2, 2020 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. The phantom stock units were acquired under the Caterpillar Inc. Supplemental Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. Phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates. Mr. Creed previously was subject to Section 16 from May 4, 2018 through August 31, 2018 when he served as Interim CFO. /s/ Barbara Thomas, POA for Joseph E. Creed 2021-01-08