0000018230-22-000099.txt : 20220422 0000018230-22-000099.hdr.sgml : 20220422 20220422125926 ACCESSION NUMBER: 0000018230-22-000099 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220420 FILED AS OF DATE: 20220422 DATE AS OF CHANGE: 20220422 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: 22844669 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: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 510 LAKE COOK ROAD STREET 2: SUITE 100 CITY: DEERFIELD STATE: IL ZIP: 60015 BUSINESS PHONE: 2245514000 MAIL ADDRESS: STREET 1: 510 LAKE COOK ROAD STREET 2: SUITE 100 CITY: DEERFIELD STATE: IL ZIP: 60015 FORMER COMPANY: FORMER CONFORMED NAME: CATERPILLAR TRACTOR CO DATE OF NAME CHANGE: 19860623 4 1 wf-form4_165064675086854.xml FORM 4 X0306 4 2022-04-20 0 0000018230 CATERPILLAR INC CAT 0001739859 Creed Joseph E 510 LAKE COOK ROAD SUITE 100 DEERFIELD IL 60015 0 1 0 0 Group President Common Stock 2022-04-20 4 M 0 5004 138.35 A 7761 D Common Stock 2022-04-20 4 S 0 5004 235 D 2757 D Common Stock 10338 I Held by 401(k) Plan Employee Stock Options 138.35 2022-04-20 4 M 0 5004 138.35 D 2029-03-04 Common Stock 5004.0 5003 D The information in this report is based on a 401(k) plan statement dated as of March 31, 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/ Barbara Thomas, POA for Joseph E. Creed 2022-04-22