0001104659-23-087957.txt : 20230804 0001104659-23-087957.hdr.sgml : 20230804 20230804193220 ACCESSION NUMBER: 0001104659-23-087957 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: DICKINSON DANIEL M CENTRAL INDEX KEY: 0001264714 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 231145350 MAIL ADDRESS: STREET 1: THAYER CAPITAL PARTNERS STREET 2: 1455 PENNSYLVANIA AVENUE NW, STE 350 CITY: WASHINGTON STATE: DC ZIP: 20004 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 tm2322787-3_4seq1.xml OWNERSHIP DOCUMENT X0508 4 2023-08-03 0 0000018230 CATERPILLAR INC CAT 0001264714 DICKINSON DANIEL M 5205 N. O'CONNOR BOULEVARD, SUITE 100 IRVING TX 75039 1 0 0 0 0 Phantom Stock Unis 2023-08-03 4 J 0 9982 284.50 D Common Stock 9982 20267 D Each Phantom Stock unit is equilvant to one share of Caterpillar Inc. common stock. Intra-plan transfer pursuannt to the Caterpillar Inc. Director's Deferred Compensation Plan. The phantom stock units were acquired under the Caterpillar Inc. Directors' Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Includes adjustment for dividends accrued. /s/ Nicole Puza, POA for Daniel Dickinson 2023-08-04