0001104659-23-088300.txt : 20230807 0001104659-23-088300.hdr.sgml : 20230807 20230807152941 ACCESSION NUMBER: 0001104659-23-088300 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230804 FILED AS OF DATE: 20230807 DATE AS OF CHANGE: 20230807 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: 231147329 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: TX FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 5205 N. O'CONNOR BOULEVARD STREET 2: SUITE 100 CITY: IRVING STATE: TX ZIP: 75039 BUSINESS PHONE: 9728917700 MAIL ADDRESS: STREET 1: 5205 N. O'CONNOR BOULEVARD STREET 2: SUITE 100 CITY: IRVING STATE: TX ZIP: 75039 FORMER COMPANY: FORMER CONFORMED NAME: CATERPILLAR TRACTOR CO DATE OF NAME CHANGE: 19860623 4 1 tm2323048-1_4seq1.xml OWNERSHIP DOCUMENT X0508 4 2023-08-04 0 0000018230 CATERPILLAR INC CAT 0001566320 Umpleby III Donald J 5205 N. O'CONNOR BOULEVARD, SUITE 100 IRVING TX 75039 1 1 0 0 Chief Executive Officer 0 Common Stock 2023-08-04 4 G 0 2613 0 D 0 I Held by Grantor Retained Annuity Trust Common Stock 2023-08-04 4 G 0 2501 0 D 0 I Held By Grantor Retained Annuity Trust Common Stock 2023-08-04 4 G 0 5114 0 A 27959 I Held by Children's Irrevocable Trust Common Stock 274430 D Common Stock 59000 I Held by Irrevocable Trust for Descendants Common Stock 15712 I Held by Grantor Retained Annuity Common Stock 1002 I Held by 401(k) Plan Gift of shares to an irrevocable trust of which a member of the reporting person's immediate family serves as trustee and of which the reporting person's descendants are beneficiaries. Reflects 9,691 shares transferred on August 3, 2023 from Grantor Retained Annuity Trust to the reporting person. Gift of shares to an irrevocable trust of which a member of the reporting person's immediate family serves as trustee and of which the reporting person's descendants are beneficiaries. Reflects 13,820 shares transferred on August 3, 2023 from Grantor Retained Annuity Trust to the reporting person. Represents 2,613 and 2,501 shares received from Grantor Retained Annuity Trusts. Reflects 4,142 shares transferred on March 2, 2023, 4,443 shares transferred on May 19, 2023 and 23,511 shares transferred on August 3, 2023 from Grantor Retained Annuity Trusts. The information in this report is based on a 401(k) plan statement dated as of July 31, 2023. /s/ Nicole Puza, POA for Donald J. Umpleby 2023-08-07