0001104659-24-058321.txt : 20240508 0001104659-24-058321.hdr.sgml : 20240508 20240508060015 ACCESSION NUMBER: 0001104659-24-058321 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240506 FILED AS OF DATE: 20240508 DATE AS OF CHANGE: 20240508 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DICKINSON DANIEL M CENTRAL INDEX KEY: 0001264714 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 24924045 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 1 tm2413815-1_4seq1.xml OWNERSHIP DOCUMENT X0508 4 2024-05-06 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 2024-05-06 4 J 0 2931 341.12 D Common Stock 2931 13886 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. /s/ Nicole Puza, POA for Daniel Dickinson 2024-05-08