Susan C. Schwab - 30 Jun 2021 Form 4 Insider Report for CATERPILLAR INC (CAT)

Role
Director
Signature
By: /s/ Barbara Thomas, POA for Susan C. Schwab
Issuer symbol
CAT
Transactions as of
30 Jun 2021
Net transactions value
+$37,584
Form type
4
Filing time
01 Jul 2021, 16:34:51 UTC
Previous filing
29 Jun 2021
Next filing
28 Sep 2021
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 $37,584 +174 +1.1% $216.00 15,820 30 Jun 2021 Common Stock 174 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.