0001104659-23-041121.txt : 20230404
0001104659-23-041121.hdr.sgml : 20230404
20230404060129
ACCESSION NUMBER: 0001104659-23-041121
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230331
FILED AS OF DATE: 20230404
DATE AS OF CHANGE: 20230404
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: CALHOUN DAVID L
CENTRAL INDEX KEY: 0001233152
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-00768
FILM NUMBER: 23794994
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
tm2311424-1_4seq1.xml
OWNERSHIP DOCUMENT
X0407
4
2023-03-31
0
0000018230
CATERPILLAR INC
CAT
0001233152
CALHOUN DAVID L
5205 N. O'CONNOR BOULEVARD, SUITE 100
IRVING
TX
75039
1
0
0
0
0
Phantom Stock Units
2023-03-31
4
A
0
165
226.98
A
Common Stock
165
20630
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.
/s/ Nicole Puza, POA for David L. Calhoun
2023-04-04