0001104659-23-106045.txt : 20231002
0001104659-23-106045.hdr.sgml : 20231002
20231002192240
ACCESSION NUMBER: 0001104659-23-106045
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230929
FILED AS OF DATE: 20231002
DATE AS OF CHANGE: 20231002
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: SCHWAB SUSAN C
CENTRAL INDEX KEY: 0001202958
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-00768
FILM NUMBER: 231301145
MAIL ADDRESS:
STREET 1: 2101 VAN MUNCHING HALL
CITY: COLLEGE PARK
STATE: MD
ZIP: 20742
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
tm2327418-2_4seq1.xml
OWNERSHIP DOCUMENT
X0508
4
2023-09-29
0
0000018230
CATERPILLAR INC
CAT
0001202958
SCHWAB SUSAN C
5205 N. O'CONNOR BOULEVARD, SUITE 100
IRVING
TX
75039
1
0
0
0
0
Phantom Stock Units
2023-09-29
4
A
0
136
275.46
A
Common Stock
136
18230
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 Susan C. Schwab
2023-10-02