0000018230-21-000243.txt : 20211001 0000018230-21-000243.hdr.sgml : 20211001 20211001150905 ACCESSION NUMBER: 0000018230-21-000243 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210930 FILED AS OF DATE: 20211001 DATE AS OF CHANGE: 20211001 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SCHWAB SUSAN C CENTRAL INDEX KEY: 0001202958 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 211298548 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] IRS NUMBER: 370602744 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 510 LAKE COOK ROAD STREET 2: SUITE 100 CITY: DEERFIELD STATE: IL ZIP: 60015 BUSINESS PHONE: 2245514000 MAIL ADDRESS: STREET 1: 510 LAKE COOK ROAD STREET 2: SUITE 100 CITY: DEERFIELD STATE: IL ZIP: 60015 FORMER COMPANY: FORMER CONFORMED NAME: CATERPILLAR TRACTOR CO DATE OF NAME CHANGE: 19860623 4 1 wf-form4_163311533029477.xml FORM 4 X0306 4 2021-09-30 0 0000018230 CATERPILLAR INC CAT 0001202958 SCHWAB SUSAN C 510 LAKE COOK ROAD, SUITE 100 DEERFIELD IL 60015 1 0 0 0 Phantom Stock Units 2021-09-30 4 A 0 192 195.25 A Common Stock 192.0 16098 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. Phantom stock units awarded or acquired in lieu of director cash compensation. The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. Includes adjustments for dividends accrued. By: /s/ Barbara Thomas, POA for Susan C. Schwab 2021-10-01