0001104659-24-055039.txt : 20240430 0001104659-24-055039.hdr.sgml : 20240430 20240430172610 ACCESSION NUMBER: 0001104659-24-055039 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240429 FILED AS OF DATE: 20240430 DATE AS OF CHANGE: 20240430 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SCHWAB SUSAN C CENTRAL INDEX KEY: 0001202958 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 24898716 MAIL ADDRESS: STREET 1: 2101 VAN MUNCHING HALL CITY: COLLEGE PARK STATE: MD ZIP: 20742 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 tm2413130-1_4seq1.xml OWNERSHIP DOCUMENT X0508 4 2024-04-29 0 0000018230 CATERPILLAR INC CAT 0001202958 SCHWAB SUSAN C 5205 N. O'CONNOR BOULEVARD, SUITE 100 IRVING TX 75039 1 0 0 0 0 Common Stock 2024-04-29 4 D 0 8579 348.86 D 14593 D Common Stock 2024-04-29 4 D 0 4302 349.92 D 10291 D This transaction was executed in multiple trades at prices ranging from $348.46 to $349.44. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Includes adjustments for dividends accrued. This transaction was executed in multiple trades at prices ranging from $349.49 to $350.21. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. /s/ Nicole Puza, POA for Susan Schwab 2024-04-30