David L. Calhoun - 31 Mar 2022 Form 4 Insider Report for CATERPILLAR INC (CAT)

Role
Director
Signature
By: /s/ Barbara Thomas, POA for David L. Calhoun
Issuer symbol
CAT
Transactions as of
31 Mar 2022
Transactions value $
$55,057
Form type
4
Date filed
01 Apr 2022, 17:34
Previous filing
28 Feb 2022
Next filing
10 Jun 2022
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 $55.1K +246 +1.29% $223.81 19.3K 31 Mar 2022 Common Stock 246 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.