0001104659-23-082464.txt : 20230719
0001104659-23-082464.hdr.sgml : 20230719
20230719192220
ACCESSION NUMBER: 0001104659-23-082464
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230718
FILED AS OF DATE: 20230719
DATE AS OF CHANGE: 20230719
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: 231097854
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
tm2321642-1_4seq1.xml
OWNERSHIP DOCUMENT
X0508
4
2023-07-18
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
1
Common Stock
2023-07-18
4
M
0
6415
127.60
A
22777
D
Common Stock
2023-07-18
4
S
0
6415
260.00
D
16362
D
Common Stock
222
I
Held by 401(k) Plan
Employee Stock Options
127.60
2023-07-18
4
M
0
6415
127.60
D
2030-03-02
Common Stock
6415
0
D
Includes adjustments for dividends accrued.
This transaction was executed as multiple trades, all executed at the price reported above. The reporting person herby undertakes to provide upon request of the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares at which the transaction was effected.
The information in this report is based on a 401(k) statement dated as of June 30, 2023.
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/ Nicole Puza, POA for Cheryl Johnson
2023-07-19