person · Reporting owner

Long Suzette M

Disclosed activity across 1 company

Tapewire entity: 11487
SEC CIK: 0001698572

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
CATERPILLAR INCCAT · Entity 2808	CLO/General Counsel	June 07, 2023	June 09, 2023

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

CATERPILLAR INC

Report date June 07, 2023 · Filed June 09, 2023

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	13,890	Ending reported balance After 2023-06-07 transaction · row 2 2 source rows · reconciled sequence Row 1 · 2023-06-07 · Exercise / conversion · Acquired 20,529 · Balance 29,305 Row 2 · 2023-06-07 · Tax withholding · Disposed 15,415 · Balance 13,890
Employee Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $127.60 · Expires 2030-03-02	Direct	0	Reported balance After 2023-06-07 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2023-06-07 · Exercise / conversion · Disposed 20,529 · Balance 0 F1: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 2, 2020 and vest equally in 1/3 increments on the first, second and third anniversary of the grant date.
Common StockSEC Table I · non-derivative	IndirectHeld by 401(k) Plan	86	Reported balance Holding disclosure · report date 2023-06-07 · row 3 Holding and transaction disclosures are not merged. 1 source row Row 3 · Balance 86 F2: The information in this report is based on a 401(k) plan statement dated as of May 31, 2023.

Filing footnotes · ownership attribution and instrument terms

F1: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 2, 2020 and vest equally in 1/3 increments on the first, second and third anniversary of the grant date.

F2: The information in this report is based on a 401(k) plan statement dated as of May 31, 2023.

Transaction history

JSON API

Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction date	Company	Activity / security	Shares / units	Reported price	Reported value	Details
August 04, 2017 Filed Aug 7, 2017 22:18 UTC	CATERPILLAR INC CAT · Entity 2808	SaleCommon Stock	3,497	$114.30	$399,707.10	Disclosure SEC source: 0000018230-17-000251 · edgar.xml · nonDerivative · entry 4 Long Suzette M · CIK 0001698572 · Int. Executive Vice President · Corporate Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,905 F1 · price: The sale price reported in Column 4 is a weighted average sale price. The corresponding shares were sold in multiple transactions at prices ranging from $114.09 to $114.58, inclusive. The reporting person undertakes to provide Caterpillar Inc., any security holder of Caterpillar Inc., or the staff of the Securities and Exchange Commission, upon request, full information. Read SEC document
August 04, 2017 Filed Aug 7, 2017 22:18 UTC	CATERPILLAR INC CAT · Entity 2808	Exercise / conversionCommon Stock	4,052	$89.75	$363,667.00	Disclosure SEC source: 0000018230-17-000251 · edgar.xml · nonDerivative · entry 3 Long Suzette M · CIK 0001698572 · Int. Executive Vice President · Corporate Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,402 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document
August 04, 2017 Filed Aug 7, 2017 22:18 UTC	CATERPILLAR INC CAT · Entity 2808	SaleCommon Stock	2,838	$114.30	$324,383.40	Disclosure SEC source: 0000018230-17-000251 · edgar.xml · nonDerivative · entry 2 Long Suzette M · CIK 0001698572 · Int. Executive Vice President · Corporate Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,350 F1 · price: The sale price reported in Column 4 is a weighted average sale price. The corresponding shares were sold in multiple transactions at prices ranging from $114.09 to $114.58, inclusive. The reporting person undertakes to provide Caterpillar Inc., any security holder of Caterpillar Inc., or the staff of the Securities and Exchange Commission, upon request, full information. Read SEC document
August 04, 2017 Filed Aug 7, 2017 22:18 UTC	CATERPILLAR INC CAT · Entity 2808	Exercise / conversionCommon Stock	3,025	$110.09	$333,022.25	Disclosure SEC source: 0000018230-17-000251 · edgar.xml · nonDerivative · entry 1 Long Suzette M · CIK 0001698572 · Int. Executive Vice President · Corporate Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,188 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document
March 06, 2017 Filed Mar 8, 2017 23:25 UTC	CATERPILLAR INC CAT · Entity 2808	GrantEmployee Stock Option · Derivative	5,914	$0.00 Strike: $95.66	$0.00	Disclosure SEC source: 0000018230-17-000086 · edgar.xml · derivative · entry 3 Long Suzette M · CIK 0001698572 · Int. Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,914 Underlying: Common Stock · 5,914 shares Expires 2027-03-06 F2 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan and vest equally in 1/3 increments beginning on the first anniversary of the grant date. Read SEC document
March 06, 2017 Filed Mar 8, 2017 23:25 UTC	CATERPILLAR INC CAT · Entity 2808	GrantCommon Stock	14,635	$0.00	$0.00	Disclosure SEC source: 0000018230-17-000086 · edgar.xml · nonDerivative · entry 1 Long Suzette M · CIK 0001698572 · Int. Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,163 Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.