0001104659-23-089917.txt : 20230810
0001104659-23-089917.hdr.sgml : 20230810
20230810175016
ACCESSION NUMBER: 0001104659-23-089917
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230809
FILED AS OF DATE: 20230810
DATE AS OF CHANGE: 20230810
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Johnson Cheryl H
CENTRAL INDEX KEY: 0001552649
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-00768
FILM NUMBER: 231160914
MAIL ADDRESS:
STREET 1: 40 WESTMINSTER STREET
CITY: PROVIDENCE
STATE: RI
ZIP: 02903
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
tm2323048-3_4seq1.xml
OWNERSHIP DOCUMENT
X0508
4
2023-08-09
0
0000018230
CATERPILLAR INC
CAT
0001552649
Johnson Cheryl H
5205 N. O'CONNOR BOULEVARD, SUITE 100
IRVING
TX
75039
0
1
0
0
Chief Human Resources Officer
0
Common Stock
2023-08-09
4
M
0
18294
151.12
A
34656
D
Common Stock
2023-08-09
4
S
0
16894
286.27
D
17762
D
Common Stock
2023-08-09
4
S
0
1400
287.06
D
16362
D
Common Stock
223
I
Held by 401(k) Plan
Employee Stock Options
151.12
2023-08-09
4
M
0
18294
151.12
D
2028-03-05
Common Stock
18294
0
D
This transaction was executed in multiple trades at prices ranging from $286.00 to $286.95. 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 $287.00 to $287.10. 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 information in this report is based on a 401(k) statement dated as of July 31, 2023.
The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 5, 2018 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date.
/s/ Nicole Puza, POA for Cheryl Johnson
2023-08-10