144: Filer Information
Filer CIK | 0001202958 |
Filer CCC | XXXXXXXX |
Is this a LIVE or TEST Filing? | LIVE TEST |
Submission Contact Information | |
Name | |
Phone | |
E-Mail Address |
Form 144 Filer Information |
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144
NOTICE OF PROPOSED SALE OF SECURITIES
PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933 | |
FORM 144 |
Filer CIK | 0001202958 |
Filer CCC | XXXXXXXX |
Is this a LIVE or TEST Filing? | LIVE TEST |
Submission Contact Information | |
Name | |
Phone | |
E-Mail Address |
Name of Issuer | CATERPILLAR INC |
SEC File Number | 001-00768 |
Address of Issuer | 205 N. O'Connor BLVD SUITE 100 IRVING TEXAS 75039 |
Phone | 9728917700 |
Name of Person for Whose Account the Securities are To Be Sold | SCHWAB SUSAN C |
See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account
the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given
as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales
for the account of the person filing this notice.
| |
Relationship to Issuer | Director |
Title of the Class of Securities To Be Sold | Name and Address of the Broker | Number of Shares or Other Units To Be Sold | Aggregate Market Value | Number of Shares or Other Units Outstanding | Approximate Date of Sale | Name the Securities Exchange |
---|---|---|---|---|---|---|
COMMON | Morgan Stanley Smith Barney LLC Executive Services 200 W Civic Center Dr - 4th Floor Sandy UT 84070 | 12881 | 4482588.00 | 499400000 | 04/29/2024 | Nyse |
Title of the Class | Date you Acquired | Nature of Acquisition Transaction | Name of Person from Whom Acquired | Is this a Gift? | Date Donor Acquired | Amount of Securities Acquired | Date of Payment | Nature of Payment * |
---|---|---|---|---|---|---|---|---|
COMMON | 01/01/2009 | RETAIL SHARES | ISSUER | 1518 | 01/01/2009 | CASH | ||
COMMON | 01/01/2010 | RETAIL SHARES | ISSUER | 2580 | 01/01/2010 | CASH | ||
COMMON | 01/01/2011 | RETAIL SHARES | ISSUER | 1707 | 01/01/2011 | CASH | ||
COMMON | 01/01/2012 | RETAIL SHARES | ISSUER | 1186 | 01/01/2012 | CASH | ||
COMMON | 01/01/2013 | RETAIL SHARES | ISSUER | 1092 | 01/01/2013 | CASH | ||
COMMON | 01/01/2014 | RETAIL SHARES | ISSUER | 1376 | 01/01/2014 | CASH | ||
COMMON | 01/01/2015 | RETAIL SHARES | ISSUER | 1703 | 01/01/2015 | CASH | ||
COMMON | 01/01/2016 | RETAIL SHARES | ISSUER | 452 | 01/01/2016 | CASH | ||
COMMON | 01/01/2017 | RETAIL SHARES | ISSUER | 327 | 01/01/2017 | CASH | ||
COMMON | 01/01/2018 | RETAIL SHARES | ISSUER | 277 | 01/01/2018 | CASH | ||
COMMON | 01/01/2019 | RETAIL SHARES | ISSUER | 362 | 01/01/2019 | CASH | ||
COMMON | 01/01/2020 | RETAIL SHARES | ISSUER | 301 | 01/01/2020 | CASH |
Nothing to Report |
Remarks | Table 1 - Date acquired breakdown as follows: 7/31/2009 297 8/31/2009 286 9/30/2009 253 10/30/2009 231 11/30/2009 224 12/31/2009 227 1/29/2010 245 2/26/2010 230 3/31/2010 206 4/30/2010 187 5/28/2010 212 6/30/2010 213 7/30/2010 188 8/31/2010 267 9/30/2010 219 10/29/2010 222 11/30/2010 206 12/31/2010 185 1/31/2011 180 2/28/2011 169 3/31/2011 156 4/29/2011 108 5/31/2011 119 6/30/2011 118 7/29/2011 127 8/31/2011 136 9/30/2011 168 10/31/2011 132 11/21/2011 27 11/30/2011 129 12/30/2011 138 2/21/2012 27 3/7/2012 980 5/21/2012 39 8/20/2012 45 11/20/2012 49 12/31/2012 46 3/5/2013 909 5/20/2013 53 8/20/2013 64 11/20/2013 66 2/20/2014 57 3/4/2014 1115 5/20/2014 62 8/20/2014 69 11/20/2014 73 2/20/2015 89 3/3/2015 1298 5/20/2015 86 8/20/2015 109 11/20/2015 120 2/22/2016 128 5/20/2016 124 8/22/2016 105 11/21/2016 95 2/21/2017 90 5/22/2017 88 8/21/2017 81 11/20/2017 68 2/20/2018 59 5/21/2018 58 8/20/2018 74 11/20/2018 85 2/20/2019 76 5/20/2019 86 8/20/2019 109 11/20/2019 90 2/20/2020 94 5/20/2020 113 |
Date of Notice | 04/29/2024 |
ATTENTION: | |
The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date. | |
Signature | /s/ Susan C Schwab |
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001) |