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