0001104659-24-031367.txt : 20240306 0001104659-24-031367.hdr.sgml : 20240306 20240306122123 ACCESSION NUMBER: 0001104659-24-031367 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240304 FILED AS OF DATE: 20240306 DATE AS OF CHANGE: 20240306 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Johnson Cheryl H CENTRAL INDEX KEY: 0001552649 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 24724983 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] 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 tm248078-4_4seq1.xml OWNERSHIP DOCUMENT X0508 4 2024-03-04 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 2024-03-04 4 A 0 1846 0 A 21452 D Common Stock 232 I Held by 401(k) Plan Employee Stock Options 338.65 2024-03-04 4 A 0 5994 0 A 2034-03-04 Common Stock 5994 5994 D Includes adjustments for dividends accrued. The information in this report is based on a 401(k) plan statement dated as of February 29, 2024. 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 Cheryl Johnson 2024-03-06