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CATERPILLAR INC — Director's Dealing 2013
Sep 3, 2013
29780_dirs_2013-09-03_861e2dc7-8942-4594-b8e4-bccb4adaa360.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: CATERPILLAR INC (CAT)
CIK: 0000018230
Period of Report: 2013-08-30
Reporting Person: BUDA JAMES B (Executive Vice President)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2013-08-30 | Phantom Stock Units | $ | A | 84 | Acquired | Common Stock (84) | Direct |
Footnotes
F1: Each phantom stock unit is the economic equivalent of one share of Caterpillar Inc. common stock.
F2: This total includes 56 phantom stock units which were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $82.54 and 28 phantom stock units that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.
F3: The phantom stock units are be settled 100% in cash upon the reporting person's retirement or separation from service.