0001104659-24-029307.txt : 20240229 0001104659-24-029307.hdr.sgml : 20240229 20240229143556 ACCESSION NUMBER: 0001104659-24-029307 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240228 FILED AS OF DATE: 20240229 DATE AS OF CHANGE: 20240229 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Fassino Anthony D. CENTRAL INDEX KEY: 0001839757 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 24702812 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] ORGANIZATION NAME: 06 Technology 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 tm247306-4_4seq1.xml OWNERSHIP DOCUMENT X0508 4 2024-02-28 0 0000018230 CATERPILLAR INC CAT 0001839757 Fassino Anthony D. 5205 N. O'CONNOR BOULEVARD, SUITE 100 IRVING TX 75039 0 1 0 0 Group President 0 Common Stock 2024-02-28 4 M 0 7881 138.35 A 31355 D Common Stock 2024-02-28 4 F 0 3306 329.73 D 28049 D Common Stock 2024-02-28 4 S 0 4575 329.80 D 23474 D Common Stock 1425 I Held by 401(k) Plan Employee Stock Options 138.35 2024-02-28 4 M 0 7881 138.35 A 2029-03-04 Common Stock 7881 0 D The information in this report is based on a 401(k) plan statement dated as of January 31, 2024. 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. /s/ Nicole Puza, POA for Anthony D. Fassino 2024-02-29