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