0001104659-23-087958.txt : 20230804
0001104659-23-087958.hdr.sgml : 20230804
20230804193302
ACCESSION NUMBER: 0001104659-23-087958
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: Johnson Denise C
CENTRAL INDEX KEY: 0001608229
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-00768
FILM NUMBER: 231145353
MAIL ADDRESS:
STREET 1: C/O CATERPILLAR, INCORPORATED
STREET 2: 901 WEST WASHINGTON, CV41110
CITY: EAST PEORIA
STATE: IL
ZIP: 61630
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
tm2322787-4_4seq1.xml
OWNERSHIP DOCUMENT
X0508
4
2023-08-03
0
0000018230
CATERPILLAR INC
CAT
0001608229
Johnson Denise C
5205 N. O'CONNOR BOULEVARD, SUITE 100
IRVING
TX
75039
0
1
0
0
Group President
0
Common Stock
2023-08-03
4
M
0
18012
138.35
A
35980
D
Common Stock
2023-08-03
4
S
0
7892
D
28088
D
Common Stock
2023-08-03
4
S
0
10120
D
17968
D
Common Stock
2023-08-03
4
M
0
23736
127.60
A
41704
D
Common Stock
2023-08-03
4
S
0
16610
D
25094
D
Common Stock
2023-08-03
4
S
0
2300
D
22794
D
Common Stock
2023-08-03
4
S
0
4112
D
18682
D
Common Stock
2023-08-03
4
S
0
714
D
17968
D
Employee Stock Options
138.35
2023-08-03
4
M
0
18012
138.35
D
2029-03-04
Common Stock
18012
0
D
Employee Stock Options
127.60
2023-08-03
4
M
0
23736
127.60
D
2030-03-02
Common Stock
23736
0
D
This transaction was executed in multiple trades at prices ranging from $282.54 to $283.53. 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 and prices at which the
transaction was effected.
This transaction was executed in multiple trades at prices ranging from $283.54 to $284.15. 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 and prices at which the
transaction was effected.
This transaction was executed in multiple trades at prices ranging from $284.15 to $285.05. 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 and prices at which the
transaction was effected.
This transaction was executed in multiple trades at prices ranging from $285.16 to $285.95. 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 and prices at which the transaction was effected.
This transaction was executed in multiple trades at prices ranging from $286.31 to $287.22. 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 and prices at which the transaction was effected.
This transaction was executed in multiple trades at prices ranging from $287.57 to $287.79. 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 and prices at which the transaction was effected.
The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 4, 2019 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.
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 Denise C. Johnson
2023-08-04