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