0001104659-24-058136.txt : 20240507 0001104659-24-058136.hdr.sgml : 20240507 20240507172553 ACCESSION NUMBER: 0001104659-24-058136 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240501 FILED AS OF DATE: 20240507 DATE AS OF CHANGE: 20240507 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DICKINSON DANIEL M CENTRAL INDEX KEY: 0001264714 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 24923347 MAIL ADDRESS: STREET 1: THAYER CAPITAL PARTNERS STREET 2: 1455 PENNSYLVANIA AVENUE NW, STE 350 CITY: WASHINGTON STATE: DC ZIP: 20004 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CATERPILLAR INC CENTRAL INDEX KEY: 0000018230 STANDARD INDUSTRIAL CLASSIFICATION: CONSTRUCTION MACHINERY & EQUIP [3531] ORGANIZATION NAME: 06 Technology 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 tm2413794-1_4aseq1.xml OWNERSHIP DOCUMENT X0508 4/A 2024-05-01 2024-05-02 0 0000018230 CATERPILLAR INC CAT 0001264714 DICKINSON DANIEL M 5205 N. O'CONNOR BOULEVARD, SUITE 100 IRVING TX 75039 1 0 0 0 0 Phantom Stock Units 2024-05-01 4 J 0 3736 334.62 D Common Stock 3736 16818 D Each Phantom Stock unit is equivalent to one share of Caterpillar Inc. common stock. Intra-plan transfer pursuant to the Director's Deferred Compensation Plan. 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. This amended Form 4 is being filed to correct the reporting of the transaction occurring on May 1, 2024. The intra-plan transfer pursuant to the Director's Deferred Compensation Plan was a disposition of securities not an acquisition, as originally reported. /s/ Nicole Puza, POA for Daniel Dickinson 2024-05-07