0001104659-24-031368.txt : 20240306 0001104659-24-031368.hdr.sgml : 20240306 20240306122204 ACCESSION NUMBER: 0001104659-24-031368 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 Denise C CENTRAL INDEX KEY: 0001608229 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 24724986 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] 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 tm248078-5_4seq1.xml OWNERSHIP DOCUMENT X0508 4 2024-03-04 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 2024-03-04 4 A 0 2731 0 A 35525 D Employee Stock Options 338.65 2024-03-04 4 A 0 8871 0 A 2034-03-04 Common Stock 8871 8871 D Includes adjustments for dividends accrued. 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 Denise C. Johnson 2024-03-06