0001104659-24-031370.txt : 20240306 0001104659-24-031370.hdr.sgml : 20240306 20240306122340 ACCESSION NUMBER: 0001104659-24-031370 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: Umpleby III Donald J CENTRAL INDEX KEY: 0001566320 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 24724991 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 tm248078-7_4seq1.xml OWNERSHIP DOCUMENT X0508 4 2024-03-04 0 0000018230 CATERPILLAR INC CAT 0001566320 Umpleby III Donald J 5205 N. O'CONNOR BOULEVARD, SUITE 100 IRVING TX 75039 1 1 0 0 Chief Executive Officer 0 Common Stock 2024-03-04 4 A 0 12181 0 A 441355 D Common Stock 36040 I Held by Children's Irrevocable Trust Common Stock 59000 I Held by Irrevocable Trust for Descendants Common Stock 1009 I Held by 401(k) Plan Employee Stock Options 338.65 2024-03-04 4 A 0 39561 0 A 2034-03-04 Common Stock 39561 39561 D 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 Donald J. Umpleby 2024-03-06