0001104659-23-069580.txt : 20230609 0001104659-23-069580.hdr.sgml : 20230609 20230609060037 ACCESSION NUMBER: 0001104659-23-069580 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230607 FILED AS OF DATE: 20230609 DATE AS OF CHANGE: 20230609 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: 231003771 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: 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 tm2318271-1_4seq1.xml OWNERSHIP DOCUMENT X0407 4 2023-06-07 0 0000018230 CATERPILLAR INC CAT 0001698572 Long Suzette M 5205 N. O'CONNOR BOULEVARD, SUITE 100 IRVING TX 75039 0 1 0 0 CLO/General Counsel 0 Common Stock 2023-06-07 4 M 0 20529 127.60 A 29305 D Common Stock 2023-06-07 4 F 0 15415 231.32 D 13890 D Common Stock 86 I Held by 401(k) Plan Employee Stock Options 127.60 2023-06-07 4 M 0 20529 127.60 D 2030-03-02 Common Stock 20529 0 D 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 anniversary of the grant date. The information in this report is based on a 401(k) plan statement dated as of May 31, 2023. /s/ Nicole Puza, POA for Suzette M. Long 2023-06-08