0001104659-22-127328.txt : 20221215 0001104659-22-127328.hdr.sgml : 20221215 20221215160153 ACCESSION NUMBER: 0001104659-22-127328 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20221214 FILED AS OF DATE: 20221215 DATE AS OF CHANGE: 20221215 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Creed Joseph E CENTRAL INDEX KEY: 0001739859 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 221464777 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 tm2232762-1_4seq1.xml OWNERSHIP DOCUMENT X0306 4 2022-12-14 0 0000018230 CATERPILLAR INC CAT 0001739859 Creed Joseph E 5205 N. O'CONNOR BOULEVARD, SUITE 100 IRVING TX 75039 0 1 0 0 Group President Common Stock 2022-12-14 4 M 0 5003 138.35 A 5003 D Common Stock 2022-12-14 4 S 0 5003 238.00 D 0 D Common Stock 10599 I Held by 401(k) Plan Employee Stock Options 138.35 2022-12-14 4 M 0 5003 138.35 D 2029-03-04 Common Stock 5003 0 D The information in this report is based on a 401(k) plan statement dated as of November 30, 2022. The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 4, 2019 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. /s/ Nicole Puza, POA for Joseph E. Creed 2022-12-15