Statement of Changes in Beneficial Ownership (4)
04 September 2020 - 12:41AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Umpleby III Donald J |
2. Issuer Name and Ticker or Trading Symbol
CATERPILLAR INC
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CAT
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chairman & CEO |
(Last)
(First)
(Middle)
510 LAKE COOK ROAD, SUITE 100 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
9/2/2020 |
(Street)
DEERFIELD, IL 60015
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 9/2/2020 | | M | | 21416 | A | $110.09 | 50658 (1) | D | |
Common Stock | 9/2/2020 | | F | | 18323 | D | $148.62 | 32335 | D | |
Common Stock | 9/2/2020 | | M | | 79976 | A | $89.75 | 112311 | D | |
Common Stock | 9/2/2020 | | F | | 62310 | D | $148.73 | 50001 | D | |
Common Stock | | | | | | | | 944 (2) | I | Held by 401(k) Plan |
Common Stock | | | | | | | | 6895 | I | Held by Grantor Retained Annuity Trust |
Common Stock | | | | | | | | 27650 | I | Held by Grantor Retained Annuity Trust |
Common Stock | | | | | | | | 22200 | I | Held by Grantor Retained Annuity Trust |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Employee Stock Options | $110.09 | 9/2/2020 | | M | | 21416 | | 3/5/2015 | 3/5/2022 | Common Stock | 21416.0 | $0 | 0 | D | |
Employee Stock Options | $89.75 | 9/2/2020 | | M | | 79976 | | 3/4/2016 | 3/4/2023 | Common Stock | 79976.0 | $0 | 0 | D | |
Explanation of Responses: |
(1) | Reflects the transfer of 27,650 shares on May 7, 2020 and 22,200 shares on August 7, 2020 to grantor retained annuity trusts. These transfers were exempt from reporting pursuant to Rule 16a-13 under the Securities and Exchange Act of 1934, as amended. |
(2) | The information in this report is based on a 401(k) plan statement dated as of August 31, 2020. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Umpleby III Donald J 510 LAKE COOK ROAD, SUITE 100 DEERFIELD, IL 60015 | X |
| Chairman & CEO |
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Signatures
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/s/Barbara Thomas, POA for Donald J. Umpleby III | | 9/3/2020 |
**Signature of Reporting Person | Date |
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