0001972362-24-000544.txt : 20240430 0001972362-24-000544.hdr.sgml : 20240430 20240430114235 ACCESSION NUMBER: 0001972362-24-000544 CONFORMED SUBMISSION TYPE: 144 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20240430 DATE AS OF CHANGE: 20240430 SUBJECT COMPANY: 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 FILING VALUES: FORM TYPE: 144 SEC ACT: 1933 Act SEC FILE NUMBER: 001-00768 FILM NUMBER: 24895085 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: SCHWAB SUSAN C CENTRAL INDEX KEY: 0001202958 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 144 MAIL ADDRESS: STREET 1: 2101 VAN MUNCHING HALL CITY: COLLEGE PARK STATE: MD ZIP: 20742 144 1 primary_doc.xml 144 0001202958 XXXXXXXX LIVE 0000018230 CATERPILLAR INC 001-00768 205 N. O'Connor BLVD SUITE 100 IRVING TX 75039 9728917700 SCHWAB SUSAN C Director COMMON Morgan Stanley Smith Barney LLC Executive Services

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12881 4482588.00 499400000 04/29/2024 Nyse COMMON 01/01/2009 RETAIL SHARES ISSUER N 1518 01/01/2009 CASH COMMON 01/01/2010 RETAIL SHARES ISSUER N 2580 01/01/2010 CASH COMMON 01/01/2011 RETAIL SHARES ISSUER N 1707 01/01/2011 CASH COMMON 01/01/2012 RETAIL SHARES ISSUER N 1186 01/01/2012 CASH COMMON 01/01/2013 RETAIL SHARES ISSUER N 1092 01/01/2013 CASH COMMON 01/01/2014 RETAIL SHARES ISSUER N 1376 01/01/2014 CASH COMMON 01/01/2015 RETAIL SHARES ISSUER N 1703 01/01/2015 CASH COMMON 01/01/2016 RETAIL SHARES ISSUER N 452 01/01/2016 CASH COMMON 01/01/2017 RETAIL SHARES ISSUER N 327 01/01/2017 CASH COMMON 01/01/2018 RETAIL SHARES ISSUER N 277 01/01/2018 CASH COMMON 01/01/2019 RETAIL SHARES ISSUER N 362 01/01/2019 CASH COMMON 01/01/2020 RETAIL SHARES ISSUER N 301 01/01/2020 CASH Y Table 1 - Date acquired breakdown as follows: 7/31/2009 297 8/31/2009 286 9/30/2009 253 10/30/2009 231 11/30/2009 224 12/31/2009 227 1/29/2010 245 2/26/2010 230 3/31/2010 206 4/30/2010 187 5/28/2010 212 6/30/2010 213 7/30/2010 188 8/31/2010 267 9/30/2010 219 10/29/2010 222 11/30/2010 206 12/31/2010 185 1/31/2011 180 2/28/2011 169 3/31/2011 156 4/29/2011 108 5/31/2011 119 6/30/2011 118 7/29/2011 127 8/31/2011 136 9/30/2011 168 10/31/2011 132 11/21/2011 27 11/30/2011 129 12/30/2011 138 2/21/2012 27 3/7/2012 980 5/21/2012 39 8/20/2012 45 11/20/2012 49 12/31/2012 46 3/5/2013 909 5/20/2013 53 8/20/2013 64 11/20/2013 66 2/20/2014 57 3/4/2014 1115 5/20/2014 62 8/20/2014 69 11/20/2014 73 2/20/2015 89 3/3/2015 1298 5/20/2015 86 8/20/2015 109 11/20/2015 120 2/22/2016 128 5/20/2016 124 8/22/2016 105 11/21/2016 95 2/21/2017 90 5/22/2017 88 8/21/2017 81 11/20/2017 68 2/20/2018 59 5/21/2018 58 8/20/2018 74 11/20/2018 85 2/20/2019 76 5/20/2019 86 8/20/2019 109 11/20/2019 90 2/20/2020 94 5/20/2020 113 04/29/2024 /s/ Susan C Schwab