DANIEL DICKINSON - 03 Aug 2023 Form 4 Insider Report for CATERPILLAR INC (CAT)

Role
Director
Signature
/s/ Nicole Puza, POA for Daniel Dickinson
Issuer symbol
CAT
Transactions as of
03 Aug 2023
Transactions value $
-$2,839,879
Form type
4
Filing time
04 Aug 2023, 19:32:20 UTC
Previous filing
15 Jun 2023
Next filing
02 May 2024
SEC
View on sec.gov

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction CAT Phantom Stock Unis Other -$2.84M -9.98K -33% $284.50 20.3K 03 Aug 2023 Common Stock 9.98K Direct F1, F2, F3, F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Each Phantom Stock unit is equilvant to one share of Caterpillar Inc. common stock.
F2 Intra-plan transfer pursuannt to the Caterpillar Inc. Director's Deferred Compensation Plan.
F3 The phantom stock units were acquired under the Caterpillar Inc. Directors' Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service.
F4 Includes adjustment for dividends accrued.