Susan C. Schwab - 31 Mar 2022 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
31 Mar 2022
Net transactions value
+$37,600
Form type
4
Filing time
01 Apr 2022, 17:34:53 UTC
Previous filing
03 Jan 2022
Next filing
10 May 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 $37,600 +168 +1% $223.81 16,629 31 Mar 2022 Common Stock 168 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.