Denise C. Johnson - Nov 26, 2021 Form 4 Insider Report for CATERPILLAR INC (CAT)

Role
Group President
Signature
By: /s/ Barbara Thomas, POA for Denise C. Johnson
Stock symbol
CAT
Transactions as of
Nov 26, 2021
Transactions value $
$8,545
Form type
4
Date filed
11/29/2021, 04:57 PM
Previous filing
Oct 27, 2021
Next filing
Dec 27, 2021

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 $8.55K +43 +0.18% $198.73 24.3K Nov 26, 2021 Common Stock 43 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 This total includes 22 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $198.73 and 21 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.
F3 The phantom stock units are to be settled 100% in cash upon the reporting person's retirement or separation from service.
F4 Includes dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates.