0001104659-23-018691.txt : 20230210 0001104659-23-018691.hdr.sgml : 20230210 20230210172811 ACCESSION NUMBER: 0001104659-23-018691 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230209 FILED AS OF DATE: 20230210 DATE AS OF CHANGE: 20230210 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Long Suzette M CENTRAL INDEX KEY: 0001698572 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 23613600 MAIL ADDRESS: STREET 1: 510 LAKE COOK ROAD STREET 2: SUITE 100 CITY: DEERFILED 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 tm236025-9_4seq1.xml OWNERSHIP DOCUMENT X0306 4 2023-02-09 0 0000018230 CATERPILLAR INC CAT 0001698572 Long Suzette M 5205 N. O'CONNOR BOULEVARD, SUITE 100 IRVING TX 75039 0 1 0 0 CLO/General Counsel Common Stock 2023-02-09 4 S 0 6636 250.91 D 10140 D Common Stock 2023-02-09 4 S 0 1364 251.65 D 8776 D Common Stock 62 I Held by 401(k) Plan This transaction was executed in multiple trades at prices ranging from $250.47 to $251.43. The price reported above reflects the weighted average sale (or purchase) price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. This transaction was executed in multiple trades at prices ranging from $251.48 to $251.73. The price reported above reflects the weighted average sale (or purchase) price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. The information in this report is based on a 401(K) plan statement dated as of January 31, 2023. /s/ Nicole Puza, POA for Suzette M. Long 2023-02-10