DAVID L. CALHOUN - 29 Dec 2023 Form 4 Insider Report for CATERPILLAR INC (CAT)

Role
Director
Signature
/s/ Nicole Puza, POA for David L. Calhoun
Issuer symbol
CAT
Transactions as of
29 Dec 2023
Transactions value $
$37,556
Form type
4
Filing time
02 Jan 2024, 13:48:15 UTC
Previous filing
05 Dec 2023
Next filing
21 Feb 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 Units Award $37.6K +127 +0.6% $295.72 21.4K 29 Dec 2023 Common Stock 127 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 under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock.
F2 Phantom stock units awarded or acquired in lieu of director cash compensation.
F3 The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service.
F4 Includes adjustments for dividends accrued.