0001104659-23-085395.txt : 20230728
0001104659-23-085395.hdr.sgml : 20230728
20230728171352
ACCESSION NUMBER: 0001104659-23-085395
CONFORMED SUBMISSION TYPE: 4/A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230726
FILED AS OF DATE: 20230728
DATE AS OF CHANGE: 20230728
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Creed Joseph E
CENTRAL INDEX KEY: 0001739859
FILING VALUES:
FORM TYPE: 4/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-00768
FILM NUMBER: 231124086
MAIL ADDRESS:
STREET 1: 510 LAKE COOK ROAD
STREET 2: SUITE 100
CITY: DEERFIELD
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/A
1
tm2322276-3_4aseq1.xml
OWNERSHIP DOCUMENT
X0508
4/A
2023-07-26
2023-07-27
0
0000018230
CATERPILLAR INC
CAT
0001739859
Creed Joseph E
5205 N. O'CONNOR BOULEVARD, SUITE 100
IRVING
TX
75039
0
1
0
0
Group President
0
Phantom Stock Units
2023-07-26
4
A
0
30
258.32
A
Common Stock
30
7922
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.
This amended report is being filed to report the shares as acquired by the reporting person on July 26, 2023, rather than as disposed as incorrectly reported in the original report due to an inadvertent clerical error.
This total includes 15 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $258.32 and 15 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.
The phantom stock units are to be settled for 100% in cash upon the reporting person's retirement or separation from service.
Includes dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates.
/s/ Nicole Puza, POA for Joseph E. Creed
2023-07-28