0000018230-22-000082.txt : 20220321 0000018230-22-000082.hdr.sgml : 20220321 20220321103509 ACCESSION NUMBER: 0000018230-22-000082 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220317 FILED AS OF DATE: 20220321 DATE AS OF CHANGE: 20220321 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Long Suzette M CENTRAL INDEX KEY: 0001698572 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 22754560 MAIL ADDRESS: STREET 1: 510 LAKE COOK ROAD STREET 2: SUITE 100 CITY: DEERFILED STATE: IL ZIP: 60015 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_164787329453316.xml FORM 4 X0306 4 2022-03-17 0 0000018230 CATERPILLAR INC CAT 0001698572 Long Suzette M 510 LAKE COOK ROAD, SUITE 100 DEERFIELD IL 60015 0 1 0 0 CLO/General Counsel Common Stock 2022-03-17 4 M 0 16011 138.35 A 34192 D Common Stock 2022-03-17 4 S 0 16011 220 D 18181 D Common Stock 2022-03-17 4 M 0 20529 127.60 A 38710 D Common Stock 2022-03-17 4 S 0 20529 220 D 18181 D Common Stock 2022-03-17 4 S 0 3816 220 D 14365 D Common Stock 37 I Held by 401(k) Plan Employee Stock Options 138.35 2022-03-17 4 M 0 16011 138.35 A 2029-03-04 Common Stock 16011.0 0 D Employee Stock Options 127.6 2022-03-17 4 M 0 20529 127.60 A 2030-03-02 Common Stock 20529.0 20529 D This transaction was executed in multiple trades at prices ranging from $220.00 to $220.01. The price reported above reflects the weighted average sale (or purchase) 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. The information in this report is based on a 401(k) plan statement dated as of February 28, 2022. The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 4, 2019 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 2, 2020 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. /s/ Barbara Thomas, POA for Suzette M. Long 2022-03-21