David L. Calhoun - Sep 30, 2022 Form 4 Insider Report for CATERPILLAR INC (CAT)

Role
Director
Signature
By: /s/ Barbara Thomas, POA for David L. Calhoun
Stock symbol
CAT
Transactions as of
Sep 30, 2022
Transactions value $
$37,480
Form type
4
Date filed
10/3/2022, 04:23 PM
Previous filing
Jul 1, 2022
Next filing
Dec 5, 2022

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 $37.5K +226 +1.14% $165.84 20.1K Sep 30, 2022 Common Stock 226 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.