0001104659-23-077527.txt : 20230703 0001104659-23-077527.hdr.sgml : 20230703 20230703130455 ACCESSION NUMBER: 0001104659-23-077527 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230630 FILED AS OF DATE: 20230703 DATE AS OF CHANGE: 20230703 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SCHWAB SUSAN C CENTRAL INDEX KEY: 0001202958 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 231064352 MAIL ADDRESS: STREET 1: 2101 VAN MUNCHING HALL CITY: COLLEGE PARK STATE: MD ZIP: 20742 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 tm2320445-1_4seq1.xml OWNERSHIP DOCUMENT X0407 4 2023-06-30 0 0000018230 CATERPILLAR INC CAT 0001202958 SCHWAB SUSAN C 5205 N. O'CONNOR BOULEVARD, SUITE 100 IRVING TX 75039 1 0 0 0 0 Phantom Stock Units 2023-06-30 4 A 0 153 245.41 A Common Stock 153 18009 D Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. Phantom stock units awarded or acquired in lieu of director cash compensation. The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Includes adjustments for dividends accrued. /s/ Nicole Puza, POA for Susan C. Schwab 2023-07-03