Susan C. Schwab - Sep 30, 2021 Form 4 Insider Report for CATERPILLAR INC (CAT)

Role
Director
Signature
By: /s/ Barbara Thomas, POA for Susan C. Schwab
Stock symbol
CAT
Transactions as of
Sep 30, 2021
Transactions value $
$37,488
Form type
4
Date filed
10/1/2021, 03:09 PM
Previous filing
Sep 28, 2021
Next filing
Jan 3, 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 +192 +1.21% $195.25 16.1K Sep 30, 2021 Common Stock 192 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.