0001104659-24-031072.txt : 20240305 0001104659-24-031072.hdr.sgml : 20240305 20240305165001 ACCESSION NUMBER: 0001104659-24-031072 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240301 FILED AS OF DATE: 20240305 DATE AS OF CHANGE: 20240305 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Owens Derek CENTRAL INDEX KEY: 0002006879 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 24721640 MAIL ADDRESS: STREET 1: 5205 N. O'CONNOR BLVD. CITY: IRVING STATE: TX ZIP: 75039 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 tm248010-1_4seq1.xml OWNERSHIP DOCUMENT X0508 4 2024-03-01 0 0000018230 CATERPILLAR INC CAT 0002006879 Owens Derek 5205 N. O'CONNOR BOULEVARD, SUITE 100 IRVING TX 75039 0 1 0 0 CLO & General Counsel 0 Common Stock 2024-03-01 4 F 0 53 335.69 D 1669 D Common Stock 2024-03-04 4 A 0 2510 0 A 4179 D Employee Stock Options 338.65 2024-03-04 4 A 0 8152 0 A 2034-03-04 Common Stock 8152 8152 D Represents shared withheld from the reporting person to satisfy tax obligation arising from the vesting of restricted stock units granted March 1, 2021. Includes adjustments for dividends accrued and an adjustment for previously unreported holdings of 960 shares The stock options were granted pursuant to the Caterpillar Inc. 2023 Long Term Incentive Plan and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. /s/ Nicole Puza, POA for Derek Owens 2024-03-05