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