David L. Calhoun - 28 Mar 2024 Form 4 Insider Report for CATERPILLAR INC (CAT)

Reporting relationship: Director
Issuer ticker: CAT
Reported as of: 28 Mar 2024
Net transaction value: +$37,634
SEC form: 4
Accepted by SEC: 01 Apr 2024, 16:51:46 UTC
Prior SEC filing: 13 Mar 2024
Source filing: View source filing
Reporting owner signature: /s/ Nicole Puza, POA for David L. Calhoun

Key filing fact

David L. Calhoun filed Form 4 for CATERPILLAR INC (CAT) on 01 Apr 2024.

Key facts

This page summarizes David L. Calhoun's Form 4 filing for CATERPILLAR INC (CAT).
1 reported transaction and 1 derivative row are listed below.
Accepted by SEC: 01 Apr 2024, 16:51.

Change

Previous filing in this sequence was filed on 13 Mar 2024.
Current net transaction value: +$37,634.

Research use

This tells you what this filing adds before you inspect full transaction and derivative tables.
You can trace every row back to the original SEC filing document.

Evidence

Filed on Form 4

Ownership activity is grounded in SEC Form 4 disclosures.

View source filing

Reported derivative securities

Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.

CAT transaction Derivative

Phantom Stock Units

Award

Transaction value: $37,634
Shares: +103
Change %: +0.48%
Price: $365.38
Shares after: 21,559
Date: 28 Mar 2024
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 103
Exercise price
Footnotes: F1, F2, F3, F4

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Explanation of responses 4 footnotes

Footnote 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.

Footnote F2

Phantom stock units awarded or acquired in lieu of director cash compensation.

Footnote 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.

Footnote F4

Includes adjustments for dividends accrued.