0001972362-23-000607.txt : 20230809 0001972362-23-000607.hdr.sgml : 20230809 20230809174857 ACCESSION NUMBER: 0001972362-23-000607 CONFORMED SUBMISSION TYPE: 144 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20230809 DATE AS OF CHANGE: 20230809 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CATERPILLAR INC CENTRAL INDEX KEY: 0000018230 STANDARD INDUSTRIAL CLASSIFICATION: CONSTRUCTION MACHINERY & EQUIP [3531] IRS NUMBER: 370602744 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 144 SEC ACT: 1933 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 231156488 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 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: Johnson Cheryl H CENTRAL INDEX KEY: 0001552649 FILING VALUES: FORM TYPE: 144 MAIL ADDRESS: STREET 1: 40 WESTMINSTER STREET CITY: PROVIDENCE STATE: RI ZIP: 02903 144 1 primary_doc.xml 144 0001552649 XXXXXXXX LIVE 0000018230 CATERPILLAR INC 001-00768 5205 N. O'CONNOR BOULEVARD SUITE 100 IRVING TX 75039 9728917700 Johnson Cheryl H Officer COMMON ETRADE FINANCIAL CORPORATION

3 EDISON DRIVE ALPHARETTA GA 30005

18294 5232084.00 510100000 08/09/2023 NYSE COMMON 08/09/2023 STOCK OPTION EXERCISE ISSUER N 18294 08/09/2023 COMPENSATION N CHERYL JOHNSON

5205 N. O'CONNOR BLVD. SUITE 100 IRVING TX 75039

STOCK OPTION EXERCISE 07/18/2023 6415 1667900.00 08/09/2023 /s/ Cheryl H. Johnson