DANIEL M. DICKINSON - 01 May 2024 Form 4 Insider Report for CATERPILLAR INC (CAT)

Role
Director
Signature
/s/ Nicole Puza, POA for Daniel Dickinson
Issuer symbol
CAT
Transactions as of
01 May 2024
Net transactions value
+$1,250,140
Form type
4
Filing time
02 May 2024, 11:03:47 UTC
Previous filing
04 Aug 2023
Next filing
08 May 2024
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 Other $1,250,140 +3,736 +29% $334.62 16,818 01 May 2024 Common Stock 3,736 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 is equivalent to one share of Caterpillar Inc. common stock.
F2 Intra-plan transfer pursuant to the Director's Deferred Compensation Plan.
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.