DANIEL DICKINSON - 06 May 2024 Form 4 Insider Report for CATERPILLAR INC (CAT)

Role
Director
Signature
/s/ Nicole Puza, POA for Daniel Dickinson
Issuer symbol
CAT
Transactions as of
06 May 2024
Transactions value $
-$999,823
Form type
4
Filing time
08 May 2024, 06:00:15 UTC
Previous filing
02 May 2024
Next filing
13 Jun 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 Other -$1M -2.93K -17.43% $341.12 13.9K 06 May 2024 Common Stock 2.93K Direct F1, F2, F3
* 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 equivalent to one share of Caterpillar Inc. common stock.
F2 Intra-plan transfer pursuant to the Director's Deferred Compensation Plan.
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.