Donald James Umpleby III - 07 May 2021 Form 4 Insider Report for CATERPILLAR INC (CAT)

Role
Chairman & CEO, Director
Signature
/s/Barbara Thomas, POA for Donald J. Umpleby III
Issuer symbol
CAT
Transactions as of
07 May 2021
Net transactions value
$0
Form type
4
Filing time
11 May 2021, 17:06:48 UTC
Next filing
28 May 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CAT Common Stock Gift $0 -4,495 -2.4% $0.000000 179,692 07 May 2021 Direct F1, F2
holding CAT Common Stock 21,760 07 May 2021 Held by Grantor Retained Annuity Trust
holding CAT Common Stock 4,395 07 May 2021 Held by Grantor Retained Annuity Trust
holding CAT Common Stock 22,200 07 May 2021 Held by Grantor Retained Annuity Trust
holding CAT Common Stock 59,000 07 May 2021 Held by Irrevocable Trust for Descendants
holding CAT Common Stock 953 07 May 2021 Held by 401(k) Plan F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Represents a donation of ordinary shares to The Ayco Charitable Foundation, a Donor Advised Fund.
F2 Reflects transfer of 5,890 shares on May 7, 2021. This transfer was exempt form reporting pursuant to Rule 16a-13 under the Act.
F3 The information in this report is based on a 401(k) plan statement dated as of April 30, 2021.