Donald J. Umpleby III - May 7, 2021 Form 4 Insider Report for CATERPILLAR INC (CAT)

Role
Chairman & CEO, Director
Signature
/s/Barbara Thomas, POA for Donald J. Umpleby III
Stock symbol
CAT
Transactions as of
May 7, 2021
Transactions value $
$0
Form type
4
Date filed
5/11/2021, 05:06 PM
Next filing
May 28, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CAT Common Stock Gift $0 -4.5K -2.44% $0.00 180K May 7, 2021 Direct F1, F2
holding CAT Common Stock 21.8K May 7, 2021 Held by Grantor Retained Annuity Trust
holding CAT Common Stock 4.4K May 7, 2021 Held by Grantor Retained Annuity Trust
holding CAT Common Stock 22.2K May 7, 2021 Held by Grantor Retained Annuity Trust
holding CAT Common Stock 59K May 7, 2021 Held by Irrevocable Trust for Descendants
holding CAT Common Stock 953 May 7, 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.