0001104659-24-035167.txt : 20240318
0001104659-24-035167.hdr.sgml : 20240318
20240318060414
ACCESSION NUMBER: 0001104659-24-035167
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20240314
FILED AS OF DATE: 20240318
DATE AS OF CHANGE: 20240318
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: 24756824
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
tm249012-1_4seq1.xml
OWNERSHIP DOCUMENT
X0508
4
2024-03-14
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
Phantom Stock Units
2024-03-14
4
A
0
658
341.92
A
Common Stock
658
28564
D
Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock.
This total includes 329 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $341.92 and 329 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.
The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.
Includes dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates.
/s/ Nicole Puza, POA for Denise C. Johnson
2024-03-18