0001104659-23-087955.txt : 20230804
0001104659-23-087955.hdr.sgml : 20230804
20230804193143
ACCESSION NUMBER: 0001104659-23-087955
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230803
FILED AS OF DATE: 20230804
DATE AS OF CHANGE: 20230804
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: 231145340
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
tm2322787-2_4seq1.xml
OWNERSHIP DOCUMENT
X0508
4
2023-08-03
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
0
Common Stock
2023-08-03
4
S
0
3037
284.84
D
0
D
Common Stock
2023-08-03
4
M
0
7698
127.60
A
7698
D
Common Stock
2023-08-03
4
F
0
3449
284.78
D
4249
D
Common Stock
2023-08-03
4
S
0
4249
285.55
D
0
D
Employee Stock Options
127.60
2023-08-03
4
M
0
7698
127.60
D
2030-03-02
Common Stock
7698
0
D
This transaction was executed in multiple trades at prices ranging from $285.45 to $285.59. The price reported above reflects the weighted average sale 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 at whch the transaction was effected.
The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 2, 2020 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
2023-08-04