0000018230-21-000168.txt : 20210607 0000018230-21-000168.hdr.sgml : 20210607 20210607143047 ACCESSION NUMBER: 0000018230-21-000168 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210604 FILED AS OF DATE: 20210607 DATE AS OF CHANGE: 20210607 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Creed Joseph E CENTRAL INDEX KEY: 0001739859 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 21999175 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_162309063353548.xml FORM 4 X0306 4 2021-06-04 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 2021-06-04 4 M 0 7699 127.60 A 13746 D Common Stock 2021-06-04 4 S 0 7699 245.12 D 6047 D Common Stock 9976 I Held by 401(k) Plan Employee Stock Options 127.6 2021-06-04 4 M 0 7699 127.60 A 2030-03-02 Common Stock 7699.0 15396 D Includes adjustments for dividends accrued. The information in this report is based on a 401(k) plan statement dated as of May 31, 2021. The stock options were granted pursuant to the Caterpillar 2014 Long-Term Incentive Plan on March 2, 2020 and vest and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. /s/ Barbara Thomas, POA for Joseph E. Creed 2021-06-07