0001972362-23-000566.txt : 20230803 0001972362-23-000566.hdr.sgml : 20230803 20230803184812 ACCESSION NUMBER: 0001972362-23-000566 CONFORMED SUBMISSION TYPE: 144 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20230803 DATE AS OF CHANGE: 20230803 SUBJECT COMPANY: 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 FILING VALUES: FORM TYPE: 144 SEC ACT: 1933 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 231141707 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 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: Johnson Denise C CENTRAL INDEX KEY: 0001608229 FILING VALUES: FORM TYPE: 144 MAIL ADDRESS: STREET 1: C/O CATERPILLAR, INCORPORATED STREET 2: 901 WEST WASHINGTON, CV41110 CITY: EAST PEORIA STATE: IL ZIP: 61630 144 1 primary_doc.xml 144 0001608229 XXXXXXXX LIVE 0000018230 CATERPILLAR INC 001-00768 5205 N. O'CONNOR BOULEVARD SUITE 100 IRVING TX 75039 9728917700 Johnson Denise C Officer COMMON ETRADE FINANCIAL CORPORATION

3 EDISON DRIVE ALPHARETTA GA 30005

41748 11874625.74 515900000 08/03/2023 NYSE COMMON 08/03/2023 STOCK OPTION EXERCISE ISSUER N 41748 08/03/2023 COMPENSATION Y 08/03/2023 /s/ Denise Johnson