0001104659-23-030012.txt : 20230308 0001104659-23-030012.hdr.sgml : 20230308 20230308134350 ACCESSION NUMBER: 0001104659-23-030012 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230306 FILED AS OF DATE: 20230308 DATE AS OF CHANGE: 20230308 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Fassino Anthony D. CENTRAL INDEX KEY: 0001839757 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 23715492 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 tm238923-9_4seq1.xml OWNERSHIP DOCUMENT X0306 4 2023-03-06 0 0000018230 CATERPILLAR INC CAT 0001839757 Fassino Anthony D. 5205 N. O'CONNOR BOULEVARD, SUITE 100 IRVING TX 75039 0 1 0 0 Group President Employee Stock Options 253.98 2023-03-06 4 A 0 29028 0 A 2033-03-06 Common Stock 29028 29028 D The stock options were granted pursuant to the Caterpillar Inc. 2014 Long Term Incentive Plan and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. /s/ Nicole Puza, POA for Anthony D. Fassino 2023-03-08