0001104659-24-061054.txt : 20240514 0001104659-24-061054.hdr.sgml : 20240514 20240514131441 ACCESSION NUMBER: 0001104659-24-061054 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240513 FILED AS OF DATE: 20240514 DATE AS OF CHANGE: 20240514 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: De Lange Bob CENTRAL INDEX KEY: 0001694342 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 24942666 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] 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 tm2414461-1_4seq1.xml OWNERSHIP DOCUMENT X0508 4 2024-05-13 0 0000018230 CATERPILLAR INC CAT 0001694342 De Lange Bob 5205 N. O'CONNOR BOULEVARD, SUITE 100 IRVING TX 75039 0 1 0 0 Group President 0 Common Stock 2024-05-13 4 M 0 717 74.77 A 71488 D Common Stock 2024-05-13 4 F 0 373 356.46 D 71115 D Common Stock 2024-05-13 4 M 0 29834 95.66 A 100949 D Common Stock 2024-05-13 4 F 0 7987 357.30 D 92962 D Common Stock 2024-05-13 4 S 0 21847 356.90 D 71115 D Employee Stock Options 74.77 2024-05-13 4 M 0 717 74.77 D 2026-03-07 Common Stock 717 0 D Employee Stock Options 95.66 2024-05-13 4 M 0 29834 95.66 D 2027-03-06 Common Stock 29834 0 D This transaction was executed in multiple trades at prices ranging from $356.75 to $357.10. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 7, 2016 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 6, 2017 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. /s/ Nicole Puza, POA for Bob De Lange 2024-05-14