0001104659-23-011402.txt : 20230206 0001104659-23-011402.hdr.sgml : 20230206 20230206215515 ACCESSION NUMBER: 0001104659-23-011402 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20221109 FILED AS OF DATE: 20230206 DATE AS OF CHANGE: 20230206 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Johnson Cheryl H CENTRAL INDEX KEY: 0001552649 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 23592597 MAIL ADDRESS: STREET 1: 40 WESTMINSTER STREET CITY: PROVIDENCE STATE: RI ZIP: 02903 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: TX FISCAL YEAR END: 1231 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 4 1 tm235646-1_4seq1.xml OWNERSHIP DOCUMENT X0306 4 2022-11-09 0 0000018230 CATERPILLAR INC CAT 0001552649 Johnson Cheryl H 5205 N. O'CONNOR BOULEVARD, SUITE 100 IRVING TX 75039 0 1 0 0 Chief Human Resources Officer Common Stock 2022-11-09 4 G 0 6607 0 D 14440 D Common Stock 2023-02-03 4 G 0 693 0 D 13857 D Common Stock 2023-02-03 4 M 0 14260 138.35 A 28117 D Common Stock 2023-02-03 4 S 0 14260 250.27 D 13857 D Common Stock 2023-02-03 4 M 0 9623 127.60 A 23480 D Common Stock 2023-02-03 4 S 0 9623 250.68 D 13857 D Common Stock 197 I Held by 401(K) Plan Employee Stock Options 151.12 2023-01-20 4 J 0 18295 0 D 2028-03-05 Common Stock 18295 18294 D Employee Stock Options 138.35 2023-01-20 4 J 0 14260 0 D 2029-03-04 Common Stock 14260 14260 D Employee Stock Options 127.60 2023-01-20 4 J 0 16039 0 D 2030-03-02 Common Stock 16039 16038 D Employee Stock Options 219.76 2023-01-20 4 J 0 15541 0 D 2031-03-01 Common Stock 15541 15541 D Employee Stock Options 196.70 2023-01-20 4 J 0 12091 0 D 2032-03-07 Common Stock 12091 12090 D Employee Stock Options 138.35 2023-02-03 4 M 0 14260 138.35 D 2029-03-04 Common Stock 14260 0 D Employee Stock Options 127.60 2023-02-03 4 M 0 9623 127.60 D 2030-03-02 Common Stock 9623 6415 D Includes adjustments for dividends accrued. This transaction was executed in multiple trades at prices ranging from $249.83 to $250.50. The price reported above reflects the weighted average sale 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. This transaction was executed in multiple trades at prices ranging from $250.50 to $250.865. The price reported above reflects the weighted average sale 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) statement dated as of January 31, 2023. Reflects stock options transferred to a former spouse pursuant to a domestic relations order. The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 5, 2018 and vested 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 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. The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 1, 2021 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 7, 2022 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. /s/ Nicole Puza, POA for Cheryl H. Johnson 2023-02-06