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Ownership Document |
Schema Version: X0508 |
Document Type: 4 |
Period of Report: 3/4/24 |
Not Subject to Section 16: 0 |
Issuer: |
| Issuer CIK: 18230 |
| Issuer Name: CATERPILLAR INC |
| Issuer Trading Symbol: CAT |
Reporting Owner: |
| Reporting Owner ID: |
| | Owner CIK: 1739758 |
| | Owner Name: Schaupp William E |
| Reporting Owner Address: |
| | Owner Street 1: 5205 N. O'CONNOR BOULEVARD, SUITE 100 |
| | Owner Street 2: |
| | Owner City: IRVING |
| | Owner State: TX |
| | Owner ZIP Code: 75039 |
| | Owner State Description: |
| Reporting Owner Relationship: |
| | Is Director? No |
| | Is Officer? Yes |
| | Is Ten Percent Owner? No |
| | Is Other? No |
| | Officer Title: Chief Accounting Officer |
| | Other Text: |
Aff 10b5 One: 0 |
Non-Derivative Table: |
| Non-Derivative Transaction: |
| | Security Title: |
| | | Value: Common Stock |
| | Transaction Date: |
| | | Value: 3/4/24 |
| | Deemed Execution Date: |
| | Transaction Coding: |
| | | Transaction Form Type: 4 |
| | | Transaction Code: A |
| | | Equity Swap Involved? No |
| | Transaction Timeliness: |
| | Transaction Amounts: |
| | | Transaction Shares: |
| Value: 229 |
| | | Transaction Price Per Share: |
| Value: 0 |
| | | Transaction Acquired-Disposed Code: |
| Value: A |
| | Post-Transaction Amounts: |
| | | Shares Owned Following Transaction: |
| Value: 1,684 |
| | Ownership Nature: |
| | | Direct or Indirect Ownership: |
| Value: D |
Derivative Table: |
| Derivative Transaction: |
| | Security Title: |
| | | Value: Employee Stock Options |
| | Conversion or Exercise Price: |
| | | Value: 338.65 |
| | Transaction Date: |
| | | Value: 3/4/24 |
| | Deemed Execution Date: |
| | Transaction Coding: |
| | | Transaction Form Type: 4 |
| | | Transaction Code: A |
| | | Equity Swap Involved? No |
| | Transaction Timeliness: |
| | Transaction Amounts: |
| | | Transaction Shares: |
| Value: 743 |
| | | Transaction Price Per Share: |
| Value: 0 |
| | | Transaction Acquired-Disposed Code: |
| Value: A |
| | Exercise Date: |
| | | Footnote ID: F1 |
| | Expiration Date: |
| | | Value: 3/4/34 |
| | Underlying Security: |
| | | Underlying Security Title: |
| Value: Common Stock |
| | | Underlying Security Shares: |
| Value: 743 |
| | Post-Transaction Amounts: |
| | | Shares Owned Following Transaction: |
| Value: 743 |
| | Ownership Nature: |
| | | Direct or Indirect Ownership: |
| Value: D |
Footnotes: |
| Footnote - F1: The stock options were granted pursuant to the Caterpillar Inc. 2023 Long Term Incentive Plan and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. |
Owner Signature: |
| Signature Name: /s/ Nicole Puza, POA for William E. Schaupp |
| Signature Date: 3/6/24 |